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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
TX RA APPROVED 2025-02-20
OH RA APPROVED 2023-06-29
  • TX RA
    APPROVED
    Since 2025-02-20
  • OH RA
    APPROVED
    Since 2023-06-29

Branch Locations

11427 Reed Hartman Hwy Ste 202, Cincinnati, OH 45241 • 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 No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Cetera Wealth Services, Llc El Segundo CA 07/2016 Present
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
Previous Registrations
  • 2015-01-30 → 2016-07-22
    Birmingham, AL
  • 2005-02-24 → 2015-01-30
    Wrp Investments, Inc.
    Cincinnati, OH
    Cincinnatti, OH
    Youngstown, OH
  • 2004-07-20 → 2005-03-04
    Tower Square Securities, Inc.
    Cincinnati, OH
Other Businesses

1. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 6/2016 APX NUMBER OF HOURS PER WEEK: 4 APX NUMBER OF HOURS DURING TRADING HOURS: 4 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, ANNUITIES AND LONG TERM CARE 2. NAME OF OTHER BUSINESS: CENTER STAGE FINANCIAL INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 02/2020 POSITION/TITLE/RELATIONSHIP: REGISTERED REPRESENTATIVE, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2004-05-24
S63 Uniform Securities Agent State Law Examination 2001-11-27
  • S65 Uniform Investment Adviser Law Examination
    2004-05-24
  • S63 Uniform Securities Agent State Law Examination
    2001-11-27
Designations

View on SEC IAPD

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