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Current Employers
Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2023-06-29
  • CA RA
    APPROVED
    Since 2023-06-29

Branch Locations

3131 Camino Del Rio N Ste 300, San Diego, CA 92108 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Cetera Wealth Services, Llc El Segundo CA 01/2013 Present
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
Other Businesses

1. NAME OF OTHER BUSINESS: CELESTE FINANCIAL GROUP INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: DBA FOR FINANCIAL SERVICES THROUGH THE BROKER-DEALER START DATE: 4/29/2013 APX NUMBER OF HOURS PER WEEK: 40+ APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: CLIENT RELATIONS, ADMINISTRATIVE ASSISTANCE

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2012-11-16
  • S66 Uniform Combined State Law Examination
    2012-11-16

View on SEC IAPD

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