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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
FL RA APPROVED 2021-06-04
  • FL RA
    APPROVED
    Since 2021-06-04

Branch Locations

150 Southeast 3Rd Ave., Suire 104, Fort Lauderdale, FL 33301 • 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
J.P. Morgan Securities Llc Deerfield Beach FL 10/2012 09/2016
Pruco Securities Llc West Palm Beach FL 10/2020 05/2021
Hsbc Miami FL 09/2016 06/2020
Unemployment Hollywood FL 06/2020 10/2020
The Prudential Insurance Company Of America West Palm Beach FL 10/2020 05/2021
Cetera Investment Services Llc Saint Cloud MN 06/2021 Present
Cetera Investment Advisers Llc Fort Lauderdale FL 06/2021 Present
Regions Bank Fort Lauderdale FL 06/2021 Present
  • 10/2012 → 09/2016
    Deerfield Beach, FL
  • 10/2020 → 05/2021
    West Palm Beach, FL
  • 09/2016 → 06/2020
    Hsbc
    Miami, FL
  • 06/2020 → 10/2020
    Unemployment
    Hollywood, FL
  • 10/2020 → 05/2021
    The Prudential Insurance Company Of America
    West Palm Beach, FL
  • 06/2021 → Present
    Cetera Investment Services Llc
    Saint Cloud, MN
  • 06/2021 → Present
    Fort Lauderdale, FL
  • 06/2021 → Present
    Regions Bank
    Fort Lauderdale, FL
Previous Registrations
  • 2020-11-12 → 2021-06-01
    West Palm Beach, FL
  • 2016-10-28 → 2020-06-05
    Aventura, FL
    Miami, FL
    Aventura, FL
    Aventura, FL
    New York, NY
  • 2012-10-01 → 2016-10-14
    Boca Raton, FL
    Vero Beach, FL
    Boca Raton, FL
    Boynton Beach, FL
    Vero Beach, FL
    Tequesta, FL
    Stuart, FL
    Port St. Lucie, FL
    Port St Lucie, FL
    Port St Lucie, FL
    Port St Lucie, FL
    Palm Beach Gardens, FL
    Palm Beach Gardens, FL
    Palm Beach Gardens, FL
    Palm Beach, FL
    Lake Worth, FL
    Jupiter, FL
    Jensen Beach, FL
    Jupiter, FL
    Delray Beach, FL
    Fort Pierce, FL
    Delray Beach, FL
    Deerfield Beach, FL
    Boynton Beach, FL
    Boynton Beach, FL
    Boynton Beach, FL
    Boca Raton, FL
    Boca Raton, FL
    Boca Raton, FL
    Boca Raton, FL
    Boca Raton, FL
    Coral Springs, FL
    Pompano Beach, FL
    Greenacres, FL
    Lake Worth, FL
    Lantana, FL
    Greenacres, FL
    Lake Worth, FL
    Tamarac, FL
    West Palm Beach, FL
    Wellington, FL
    Lake Worth, FL
    Tamarac, FL
    Coral Springs, FL
    Royal Palm Beach, FL
    Pompano Beach, FL
    Pompano Beach, FL
    West Palm Beach, FL
    Coconut Creek, FL
    Pompano Beach, FL
    West Palm Beach, FL
    Palm Beach Gardens, FL
    West Palm Beach, FL
    Lake Worth, FL
    West Palm Beach, FL
    West Palm Beach, FL
    Lake Park, FL
    West Palm Beach, FL
    Delray Beach, FL
    Deerfield Beach, FL
    West Palm Beach, FL
    Coral Springs, FL
    West Palm Beach, FL
    Oakland Park, FL
    Coconut Creek, FL
    Boca Raton, FL
    Coral Springs, FL
    Plantation, FL
    Boca Raton, FL
    Palm Beach, FL
    Delray Beach, FL
    Plantation, FL
    Fort Lauderdale, FL
    Tamarac, FL
    West Palm Beach, FL
    Village Of Golf, FL
    Delray Beach, FL
    Fort Lauderdale, FL
    Lauderdale Lakes, FL
    North Lauderdale, FL
    Boynton Beach, FL
    Delray Beach, FL
    Boca Raton, FL
    Wellington, FL
    Sunrise, FL
    Boca Raton, FL
    Boca Raton, FL
  • 2009-08-31 → 2012-10-01
    Chase Investment Services Corp.
    Pompano Beach, FL
    Coral Springs, FL
    Boca Raton, FL
    Boca Raton, FL
    Boca Raton, FL
    Boca Raton, FL
    Boca Raton, FL
    Boynton Beach, FL
    Boynton Beach, FL
    Boynton Beach, FL
    Deerfield Beach, FL
    Delray Beach, FL
    Fort Pierce, FL
    Delray Beach, FL
    Jupiter, FL
    Jensen Beach, FL
    Jupiter, FL
    Lake Worth, FL
    Palm Beach, FL
    Palm Beach Gardens, FL
    Palm Beach Gardens, FL
    Palm Beach Gardens, FL
    Port St Lucie, FL
    Port St Lucie, FL
    Port St Lucie, FL
    Port St. Lucie, FL
    Stuart, FL
    Tequesta, FL
    Vero Beach, FL
    Boynton Beach, FL
    Boca Raton, FL
    Vero Beach, FL
    Boca Raton, FL
    Delray Beach, FL
    Pembroke Pines, FL
    Weston, FL
    Weston, FL
    Plantation, FL
    Coral Springs, FL
    Boca Raton, FL
    Boca Raton, FL
    Coconut Creek, FL
    Oakland Park, FL
    West Palm Beach, FL
    Coral Springs, FL
    West Palm Beach, FL
    Deerfield Beach, FL
    Delray Beach, FL
    West Palm Beach, FL
    Lake Park, FL
    West Palm Beach, FL
    West Palm Beach, FL
    Lake Worth, FL
    West Palm Beach, FL
    Palm Beach Gardens, FL
    West Palm Beach, FL
    Pompano Beach, FL
    Coconut Creek, FL
    West Palm Beach, FL
    Pompano Beach, FL
    Pompano Beach, FL
    Royal Palm Beach, FL
    Coral Springs, FL
    Tamarac, FL
    Lake Worth, FL
    Wellington, FL
    West Palm Beach, FL
    Tamarac, FL
    Lake Worth, FL
    Lake Worth, FL
    Lantana, FL
    Lake Worth, FL
    Greenacres, FL
    Davie, FL
  • 2006-01-30 → 2009-08-04
    Ft Lauderdale, FL
  • 2003-05-07 → 2005-08-29
    Morgan Stanley Dw Inc.
    Hallandale, FL
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2003-05-02
  • S66 Uniform Combined State Law Examination
    2003-05-02

View on SEC IAPD

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