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James David Panozzo

Cetera Investment Advisers LLC

Muskegon, MI

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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
MI RA APPROVED 2020-11-12
  • MI RA
    APPROVED
    Since 2020-11-12

Branch Locations

316 Morris Ave Ste 440, Muskegon, MI 49440 • 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 04/2007 09/2022
First Allied Advisory Services, Inc. Chesterfield MO 07/2012 11/2020
First Allied Advisory Services Schaumburg IL 11/2020 11/2020
Cetera Advisors Llc Muskegon MI 09/2022 Present
Cetera Investment Advisers Llc Schaumburg IL 11/2020 Present
  • 04/2007 → 09/2022
    First Allied Securities,Inc.
    San Diego, CA
  • 07/2012 → 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
    Muskegon, MI
  • 11/2020 → Present
    Cetera Investment Advisers Llc
    Schaumburg, IL
Previous Registrations
  • 2012-07-02 → 2020-11-12
    First Allied Advisory Services, Inc.
    Muskegon, MI
  • 2010-06-04 → 2012-07-02
    First Allied Securities, Inc.
    Muskegon, MI
Other Businesses

INVESTMENT MANAGEMENT GROUP, INC; ADVISOR; DBA ; START DATE 12/3/2008; 160 HRS. PER MONTH.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2001-04-19
  • S66 Uniform Combined State Law Examination
    2001-04-19

View on SEC IAPD

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EDWARD JONES
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CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

Other Investors

MICHAEL J MARKEY
MELINDA SUE WEISS
ERNEST DALE ANDERSON
ROYCE ELLIOTT YOUNG
ALLEN JOHN KOWALSKI
Michael Paul Valachovics
Michael A. Brzozowski
MICHAEL WILLIAM LADD

Other Offices

LFN ADVISORS INC. · MUSKEGON, MI
RAYMOND JAMES & ASSOCIATES, INC. · Muskegon, MI
EMBARK FINANCIAL PARTNERS · MUSKEGON, MI
LPL FINANCIAL LLC · MUSKEGON, MI
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · MUSKEGON, MI
EDWARD JONES · MUSKEGON, MI
EDWARD JONES · Muskegon, MI
BRAEBURN WEALTH MANAGEMENT, LLC · MUSKEGON, MI

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