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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_RES 2023-02-27
NY RA APPROVED 2021-04-12
  • TX RA
    APPROVED_RES
    Since 2023-02-27
  • NY RA
    APPROVED
    Since 2021-04-12

Branch Locations

115 Stevens Avenue Suite 100, Valhalla, NY 10595 • 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
Cetera Financial Specialists Llc Schaumburg IL 10/2005 Present
Cetera Investment Advisers Llc Schaumburg IL 09/2006 Present
Littleton Financial Valhalla NY 11/2019 Present
  • 10/2005 → Present
    Cetera Financial Specialists Llc
    Schaumburg, IL
  • 09/2006 → Present
    Schaumburg, IL
  • 11/2019 → Present
    Littleton Financial
    Valhalla, NY
Other Businesses

1) SELL HEALTH INSURANCE THROUGH OXFORD & BC/BS, SINCE 05/2008, 1H/WK; 2) RECEIVE RENEWALS ON LIFE INSURANCE THROUGH WILLIAM PENN LIFE INS: 3) HEALTH INSURANCE; NON-INV REL; BROKER/AGENT; REFER CLIENTS FOR PURCHASE OF HEALTH INSURANCE THROUGH VARIOUS INSURANCE CARRIERS; START DATE 11/2012; 2HRS/MNTH: 4)NAME OF OTHER BUSINESS: LITTLETON FINANCIAL; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES / INSURANCE; START DATE: 11/2019; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 50; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: CLIENT MEETINGS, RETIREMENT PLANNING, EDUCATION PLANNING, INSURANCE PLANNING 5) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 12/2020; APX NUMBER OF HOURS PER WEEK: 6; APX NUMBER OF HOURS DURING TRADING HOURS: 6 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS DISABILITY;

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2002-05-16
  • S63 Uniform Securities Agent State Law Examination
    2002-05-16

View on SEC IAPD

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