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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
IL RA APPROVED 2024-12-10
CA RA APPROVED 2023-06-29
TX RA APPROVED_RES 2023-06-29
  • IL RA
    APPROVED
    Since 2024-12-10
  • CA RA
    APPROVED
    Since 2023-06-29
  • TX RA
    APPROVED_RES
    Since 2023-06-29

Branch Locations

2301 Rosecrans Ave #5100, El Segundo, CA 90245 • United States

Freeport, IL • United States

655 W Broadway12Th Fl, San Diego, CA 92101 • United States

Redondo Beach, CA • 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 06/2013 Present
Legend Equities Corporation Palm Beach Gardens FL 08/2015 12/2016
Cetera Investment Services Llc St Cloud MN 07/2017 Present
Cetera Advisors Llc Denver CO 03/2018 Present
Cetera Financial Specialists Llc Schaumburg IL 06/2013 Present
First Allied Securities, Inc. San Diego CA 06/2013 09/2022
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
  • 06/2013 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 08/2015 → 12/2016
    Legend Equities Corporation
    Palm Beach Gardens, FL
  • 07/2017 → Present
    Cetera Investment Services Llc
    St Cloud, MN
  • 03/2018 → Present
    Cetera Advisors Llc
    Denver, CO
  • 06/2013 → Present
    Cetera Financial Specialists Llc
    Schaumburg, IL
  • 06/2013 → 09/2022
    First Allied Securities, Inc.
    San Diego, CA
  • 06/2023 → Present
    Schaumburg, IL
Previous Registrations
  • 2011-05-10 → 2013-08-09
    National Planning Corporation
    El Segundo, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2011-05-09
S63 Uniform Securities Agent State Law Examination 2001-01-26
  • S66 Uniform Combined State Law Examination
    2011-05-09
  • S63 Uniform Securities Agent State Law Examination
    2001-01-26

View on SEC IAPD

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