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

Branch Locations

3600 Wilshire Blvd Suite 1914, Los Angeles, CA 90010 • 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
Hotta & Company Torrance CA 09/1990 Present
Cetera Wealth Services, Llc El Segundo CA 01/2013 Present
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
Posi Accountancy, P.C D/B/A Posi Torrance CA 06/1992 Present
  • 09/1990 → Present
    Hotta & Company
    Torrance, CA
  • 01/2013 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 06/2023 → Present
    Schaumburg, IL
  • 06/1992 → Present
    Posi Accountancy, P.C D/B/A Posi
    Torrance , CA
Other Businesses

1. SALE OF FIXED INSURANCE (LIFE, HEALTH, ANNUITIES). 2. NAME OF OTHER BUSINESS: POSI ACCOUNTANCY, P.C D/B/A POSI ; INVESTMENT RELATED: NO ; ADDRESS: 970 W 190TH ST STE: 920, TORRANCE, CA 90502 ; NATURE OF BUSINESS: ACCOUNTING, TAX, BUSINESS ADVISORY ; START DATE: 6/23/1992 ; POSITION/TITLE/RELATIONSHIP: CEO ; APX NUMBER OF HOURS PER WEEK: 40 ; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: MANAGEMENT OF ACCOUNTING FIRM;

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2015-09-22
S63 Uniform Securities Agent State Law Examination 2006-10-23
  • S65 Uniform Investment Adviser Law Examination
    2015-09-22
  • S63 Uniform Securities Agent State Law Examination
    2006-10-23

View on SEC IAPD

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