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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
NY RA APPROVED 2024-03-21
  • NY RA
    APPROVED
    Since 2024-03-21

Branch Locations

6 Liberty Square Mall, Stony Point, NY 10980 • United States

Disclosures

1 disclosure category 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 No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien Yes
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Cantella And Co., Inc Malden MA 09/2009 08/2021
Cetera Advisors Llc St. Cloud MN 08/2021 Present
Emerald Retirement Planning Group, Inc. Tomkins Cove NY 09/2009 Present
18 Liberty Square Llc Tomkins Cove NY 07/2019 Present
Emerald Medicare Tomkins Cove NY 09/2003 Present
Cetera Investment Advisers Llc Schaumburg IL 03/2024 Present
  • 09/2009 → 08/2021
    Cantella And Co., Inc
    Malden, MA
  • 08/2021 → Present
    Cetera Advisors Llc
    St. Cloud, MN
  • 09/2009 → Present
    Emerald Retirement Planning Group, Inc.
    Tomkins Cove, NY
  • 07/2019 → Present
    18 Liberty Square Llc
    Tomkins Cove, NY
  • 09/2003 → Present
    Emerald Medicare
    Tomkins Cove, NY
  • 03/2024 → Present
    Schaumburg, IL
Previous Registrations
  • 2009-09-08 → 2021-08-13
    Cantella & Co., Inc.
    Stony Point, NY
    Stony Point, NY
    Stony Point, NY
    River Edge, NJ
    Malden, MA
  • 2004-06-08 → 2009-09-09
    Cetera Wealth Services, Llc
    Edison, NJ
    Edison, NJ
    Stony Point, NY
Other Businesses

1) FIXED INSURANCE WITH VARIOUS COMPANIES UNDER DBA NAME EMERALD MEDICARE, INVESTMENT RELATED, SAME AS REGISTERED LOCATION, FIXED INSURANCE, START DATE 09/2003, INSURANCE AGENT, APX NUMBER OF HOURS PER WEEK: VARIES, APX NUMBER OF HOURS DURING TRADING HOURS: VARIES, SELLS LIFE, HEALTH, DISABILITY, AND LONG-TERM CARE; 2) NAME OF OTHER BUSINESS: EMERALD RETIREMENT PLANNING GROUP, INC. INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 09/2009, POSITION/TITLE/RELATIONSHIP: OWNER AND PRESIDENT, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 30, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 3) NAME OF OTHER BUSINESS: 18 LIBERTY SQUARE LLC INVESTMENT RELATED: NO, ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: REAL ESTATE, START DATE: 07/2019, POSITION/TITLE/RELATIONSHIP: OWNER, APX NUMBER OF HOURS PER WEEK: 1, DURING TRADING HOURS BRIEF DESCRIPTION OF DUTIES: LLC OWNS BUILDING THAT INVESTMENT BUSINESS OPERATES FROM; 4) NAME OF OTHER BUSINESS: HELEN HAYES HOSPITAL FOUNDATION; INVESTMENT RELATED: NO, ADDRESS: VIRTUAL, NATURE OF BUSINESS: NON-PROFIT, START DATE: 02/2022, POSITION/TITLE/RELATIONSHIP: BOARD MEMBER, APX NUMBER OF HOURS PER WEEK: 1, APX NUMBER OF HOURS DURING TRADING HOURS: 1, BRIEF DESCRIPTION OF DUTIES: BOARD MEMBER SUPPORT FOUNDATION; 5) NAME OF OTHER BUSINESS: ROCKLAND RECOVERY HOMES, INC.; INVESTMENT RELATED: NO; ADDRESS: 4 TIMMEL LANE STONY POINT, NY 10980 NATURE OF BUSINESS: NON PROFIT; START DATE: 12/2020; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER/TREASURER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: REVIEW REVENUE AND EXPENSE FIGURES, REPORT OBSERVATIONS TO BOARD, FUNDRAISING;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2003-12-02
  • S66 Uniform Combined State Law Examination
    2003-12-02
Designations
Other Names
  • Matthew S. Clement

View on SEC IAPD

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