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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
NY RA APPROVED 2021-03-31
  • NY RA
    APPROVED
    Since 2021-03-31

Branch Locations

111 Grant Avenue Suite 208, Endicott, NY 13760 • United States

Pine City, NY • 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
Foresters Advisory Services Llc Endicott NY 12/2014 06/2019
Tioga Country Club Nichols NY 11/2014 07/2017
Foresters Financial Services Endicott NY 01/2016 06/2019
Cetera Investment Advisers Llc Endicott NY 06/2019 Present
Cetera Investment Services Llc St. Cloud MN 06/2019 Present
  • 12/2014 → 06/2019
    Foresters Advisory Services Llc
    Endicott, NY
  • 11/2014 → 07/2017
    Tioga Country Club
    Nichols, NY
  • 01/2016 → 06/2019
    Foresters Financial Services
    Endicott, NY
  • 06/2019 → Present
    Endicott, NY
  • 06/2019 → Present
    Cetera Investment Services Llc
    St. Cloud, MN
Previous Registrations
  • 2015-01-22 → 2019-06-25
    Foresters Advisory Services, Llc
    Endicott, NY
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2014-12-23
S63 Uniform Securities Agent State Law Examination 2001-11-21
  • S65 Uniform Investment Adviser Law Examination
    2014-12-23
  • S63 Uniform Securities Agent State Law Examination
    2001-11-21

View on SEC IAPD

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