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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
TX RA APPROVED_RES 2022-11-03
CA RA APPROVED 2020-11-12
  • TX RA
    APPROVED_RES
    Since 2022-11-03
  • CA RA
    APPROVED
    Since 2020-11-12

Branch Locations

655 W Broadway 12Th Fl, San Diego, CA 92101 • United States

San Marcos, 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
First Allied Securities, Inc. San Diego CA 07/2007 09/2022
First Allied Advisory Services, Inc. Chesterfield MO 05/2012 11/2020
Cetera Investment Advisers Llc Schaumburg IL 11/2020 Present
Cetera Advisors Llc Greenwood Village CO 09/2022 Present
Cetera Wealth Services, Llc El Segundo CA 04/2026 Present
Cetera Financial Specialists Llc Schaumburg IL 04/2026 Present
Cetera Investment Services Llc St Cloud MN 04/2026 Present
  • 07/2007 → 09/2022
    First Allied Securities, Inc.
    San Diego, CA
  • 05/2012 → 11/2020
    First Allied Advisory Services, Inc.
    Chesterfield, MO
  • 11/2020 → Present
    Schaumburg, IL
  • 09/2022 → Present
    Cetera Advisors Llc
    Greenwood Village, CO
  • 04/2026 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 04/2026 → Present
    Cetera Financial Specialists Llc
    Schaumburg, IL
  • 04/2026 → Present
    Cetera Investment Services Llc
    St Cloud, MN
Previous Registrations
  • 2012-06-15 → 2020-11-12
    First Allied Advisory Services, Inc.
    San Diego, CA
  • 2008-05-08 → 2012-07-02
    First Allied Securities, Inc.
    San Diego, CA
    San Diego, CA
    San Diego, CA
    San Diego, CA
Other Businesses

1. NAME OF OTHER BUSINESS: CHRIST PRESBYTERIAN CHURCH INVESTMENT RELATED: NO, ADDRESS: 7807 CANTELLA STREET, CARLSBAD, CA, 92009, NATURE OF BUSINESS: RELIGIOUS, START DATE: 08/2023, POSITION/TITLE/RELATIONSHIP: ELDER, APX NUMBER OF HOURS PER WEEK: 1, APX NUMBER OF HOURS DURING TRADING HOURS: VARIES, BRIEF DESCRIPTION OF DUTIES: OVERSIGHT OF CHURCH PERSONNEL, REVIEW COMP AND ANNUAL REVIEWS. 2. NAME OF OTHER BUSINESS: BOY SCOUT TROOP 709; INVESTMENT RELATED: NO; ADDRESS: 490 S MELROSE DR, VISTA, CA 92081; NATURE OF BUSINESS: BOARD; START DATE: 8/2025; POSITION/TITLE/RELATIONSHIP: COMMITTEE CHAIR; APX NUMBER OF HOURS PER WEEK: 2-4; APX NUMBER OF HOURS DURING TRADING HOURS: 2-4; BRIEF DESCRIPTION OF DUTIES: OVERSEE COMMITTEE MEETINGS & PLAN EVENTS FOR THE TROOP;

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2008-04-26
S63 Uniform Securities Agent State Law Examination 2004-02-24
  • S65 Uniform Investment Adviser Law Examination
    2008-04-26
  • S63 Uniform Securities Agent State Law Examination
    2004-02-24
Other Names
  • Garrett J. Merrill
  • Garrett J. Mason

View on SEC IAPD

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