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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
PA RA APPROVED 2023-06-29
  • PA RA
    APPROVED
    Since 2023-06-29

Branch Locations

24812 Rt 35 N, Mifflintown, PA 17059 • 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
Hollis Financial Services, Llc Mifflintown PA 01/2013 Present
Voya Financial Advisors Mifflin PA 09/2014 06/2021
Cetera Wealth Services, Llc El Segundo CA 06/2021 Present
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
  • 01/2013 → Present
    Hollis Financial Services, Llc
    Mifflintown, PA
  • 09/2014 → 06/2021
    Voya Financial Advisors
    Mifflin, PA
  • 06/2021 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 06/2023 → Present
    Schaumburg, IL
Previous Registrations
  • 2006-02-22 → 2021-06-09
    Liverpool, PA
    Harrisburg, PA
    Liverpool, PA
    Mifflin, PA
    Williamsport, PA
    Mifflintown, PA
    Windsor, CT
  • 2001-01-27 → 2005-03-03
    Waddell & Reed
    Harrisburg, PA
Other Businesses

1. NAME OF ENTITY:HOLLIS FINANCIAL SERVICES, LLC; Yes; 24812 ROUTE 35 N; MIFFLINTOWN; PA; 17059; Financial Services DBA; Producer; OWNER; 1/11/2013; 160; 160; SALE AND SERVICE INSURANCE, SECURITIES AND INVESTMENT PRODUCTS. 2. NAME OF ENTITY:Juniata County School District; No; SOUTH 7TH STREET; MIFFLINTOWN; PA; 17054; education; scorekeeper; 3/1/2008; 16; 16; keep scorebook for boys basketball team at local high school 3. NAME OF ENTITY:RENTAL PROPERTY; No; 24812 ROUTE 35 NORTH; MIFFLINTOWN; PA; 17059; RENTAL PROPERTY; LANDLORD; 9/15/2016; 1; 0; RENTING OUT SPACE TO HOLLIS FINANCIAL 4. NAME OF ENTITY: INDEPENDENT INSURANCE AGENT; Yes; 24812 RT 35 N; MIFFLINTONW; PA; 17059; FIXED INSURANCE SALES; INDEPENDENT INSURANCE AGENT; 3/3/2005; 160; 160; SALES OF FIXED INSURANCE PRODUCTS; 5. NAME OF OTHER BUSINESS: MIFFLIN COUNTY UNITED SOCCER CLUB, INVESTMENT RELATED: NO, ADDRESS: 1 MANOR DRIVE, LEWISTOWN, PA 17044, NATURE OF BUSINESS: YOUTH SOCCER LEAGUE, START DATE: 07/2024 POSITION/TITLE/RELATIONSHIP: VOLUNTEER ASSISTANT SOCCER COACH, APX NUMBER OF HOURS PER WEEK: 4, NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: HELPING COACH YOUTH SOCCER TEAM;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2001-05-09
  • S66 Uniform Combined State Law Examination
    2001-05-09

View on SEC IAPD

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