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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 2024-02-22
TX RA APPROVED 2024-02-22
  • CA RA
    APPROVED
    Since 2024-02-22
  • TX RA
    APPROVED
    Since 2024-02-22

Branch Locations

3200 Park Center Drive Ste. 1240, Costa Mesa, CA 92626 • United States

Sovran Advisors, Llc

3131 Camino Del Rio N. Suite 800, San Diego, CA 92108 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2024-02-22
  • CA RA
    APPROVED
    Since 2024-02-22

Branch Locations

3131 Camino Del Rio N. Suite 800, San Diego, CA 92108 • United States

3200 Park Center Dr. Suite 1240, Costa Mesa, CA 92626 • 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
Metlife Securities Inc Los Angeles CA 07/2011 03/2017
Massmutual Life Insurance Co Costa Mesa CA 07/2016 02/2024
Mml Investors Services, Llc Costa Mesa CA 03/2017 02/2024
Cetera Wealth Services, Llc El Segundo CA 02/2024 Present
Sovran Advisors Llc - Crd 329415 Costa Mesa CA 02/2024 Present
Directpath Financial, Llc Costa Mesa CA 02/2023 Present
Cetera Investment Advisers Llc Schaumburg IL 02/2024 Present
  • 07/2011 → 03/2017
    Metlife Securities Inc
    Los Angeles, CA
  • 07/2016 → 02/2024
    Massmutual Life Insurance Co
    Costa Mesa, CA
  • 03/2017 → 02/2024
    Costa Mesa, CA
  • 02/2024 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 02/2024 → Present
    Sovran Advisors Llc - Crd 329415
    Costa Mesa, CA
  • 02/2023 → Present
    Directpath Financial, Llc
    Costa Mesa, CA
  • 02/2024 → Present
    Schaumburg, IL
Previous Registrations
  • 2017-03-25 → 2024-03-05
    Costa Mesa, CA
  • 2011-09-12 → 2017-03-25
    Msi Financial Services, Inc.
    Los Angeles, CA
    Irvine, CA
Other Businesses

1.NAME OF OTHER BUSINESS: SOVRAN ADVISORS LLC - CRD 329415 INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: SEC REGISTERED INVESTMENT ADVISORY FIRM POSITION/TITLE/RELATIONSHIP: INVESTMENT ADVISOR REPRESENTATIVE START DATE: 02/2024 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: FINANCIAL PLANNING AND ASSET MANAGEMENT 2. NAME OF OTHER BUSINESS: DIRECTPATH FINANCIAL, LLC INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 02/2023 POSITION/TITLE/RELATIONSHIP: PARTNER APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 30 BRIEF DESCRIPTION OF DUTIES: PROVIDE FINANCIAL AND INSURANCE SERVICES 3. NAME OF OTHER BUSINESS: ANTHONY KRICKL INVESTMENT RELATED: NO ADDRESS: 305 SAWBUCK IRVINE, CA NATURE OF BUSINESS: RENTAL PROPERTY START DATE: 10/2014 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: MANAGE RENTAL PROPERTY

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2011-08-22
  • S66 Uniform Combined State Law Examination
    2011-08-22

View on SEC IAPD

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