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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
KY RA APPROVED 2020-11-12
TX RA APPROVED_RES 2020-11-12
  • KY RA
    APPROVED
    Since 2020-11-12
  • TX RA
    APPROVED_RES
    Since 2020-11-12

Branch Locations

1728 Gagel Ave, Louisville, KY 40216 • United States

Disclosures

2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action Yes
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Next Financial Group Inc Louisville KY 11/2006 Present
First Allied Securities, Inc San Diego CA 11/2013 09/2022
First Allied Advisory Services, Inc. Chesterfield MO 11/2013 11/2020
First Allied Advisory Services Schaumburg IL 11/2020 11/2020
Cetera Advisors Llc Lousiville KY 09/2022 Present
Cetera Investment Advisers Llc Schaumburg IL 11/2020 Present
  • 11/2006 → Present
    Next Financial Group Inc
    Louisville, KY
  • 11/2013 → 09/2022
    First Allied Securities, Inc
    San Diego, CA
  • 11/2013 → 11/2020
    First Allied Advisory Services, Inc.
    Chesterfield, MO
  • 11/2020 → 11/2020
    First Allied Advisory Services
    Schaumburg, IL
  • 09/2022 → Present
    Cetera Advisors Llc
    Lousiville, KY
  • 11/2020 → Present
    Schaumburg, IL
Previous Registrations
  • 2013-11-25 → 2020-11-12
    First Allied Advisory Services, Inc.
    Louisville, KY
    Louiseville, KY
    Louisville, KY
  • 2010-04-08 → 2013-11-26
    Next Financial Group, Inc.
    Louisville, KY
    Louisville, KY
Other Businesses

1.) DAVIS FINANCIAL SERVICES, INC.; DBA; START DATE 11/13/2013; 160 HOURS PER MONTH 2.) KENTUCKY COLLABORATIVE FAMILY NETWORK; TREASURER; NON-PROFIT ORGANIZATION; START DATE 02/13/2014; 8 HOURS PER MONTH. 3.) JAMES A MAYFIELD ESTATE; EXECUTOR; FIDUCIARY POSITION(TRUSTEE,POA,EXECUTOR,ECT) START DATE 10/02/2017; 4 HOURS PER MONTH. 4.) DAVIS, MAYFIELD AND ASSOCIATES; FINANCIAL ADVISOR; DBA(ONLY OFFERS FIRST ALLIED PRODUCTS/SERVICES); 4 HOURS PER MONTH. 5.) DAVIS, MAYFIELD AND ASSOCIATES; AGENT; INSURNACE; START DATE 08/05/2019; 8 HOURS PER MONTH.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2001-02-01
  • S63 Uniform Securities Agent State Law Examination
    2001-02-01
Designations

View on SEC IAPD

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