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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 2023-06-29
TX RA APPROVED_RES 2023-06-29
  • CA RA
    APPROVED
    Since 2023-06-29
  • TX RA
    APPROVED_RES
    Since 2023-06-29

Branch Locations

1420 S. Mills Avenue, Ste. A, Lodi, CA 95242 • 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 Wealth Services, Llc El Segundo CA 01/2013 Present
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
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: 01/2015 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, ANNUITIES AND LONG TERM CARE (2) NAME OF OTHER BUSINESS: N/A INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: NOTARY START DATE: 12/2015 POSITION/TITLE/RELATIONSHIP: NOTARY APX NUMBER OF HOURS PER WEEK: VARIES APX NUMBER OF HOURS DURING TRADING HOURS: VARIES BRIEF DESCRIPTION OF DUTIES: PROVIDING NOTARY SERVICES. (3) NAME OF OTHER BUSINESS: TWING FINANCIAL SERVICES INC.; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: TAX ENTITY - ACCOUNTS RECEIVABLE/PAYABLE CONDUIT; START DATE: 01/1984; POSITION/TITLE/RELATIONSHIP: OWNER / CEO; APX NUMBER OF HOURS PER WEEK: NONE; APX NUMBER OF HOURS DURING TRADING HOURS: NONE; BRIEF DESCRIPTION OF DUTIES: NONE;

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2002-11-22
S63 Uniform Securities Agent State Law Examination 2002-03-30
  • S65 Uniform Investment Adviser Law Examination
    2002-11-22
  • S63 Uniform Securities Agent State Law Examination
    2002-03-30

View on SEC IAPD

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