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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
ME RA APPROVED 2025-07-11
  • ME RA
    APPROVED
    Since 2025-07-11

Branch Locations

23 Bridgton Road Suite 102, Westbrook, ME 04092 • United States

Windham, ME • United States

Disclosures

3 disclosure categories 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 Yes
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination Yes
Employment History
OrganizationCityStateFromTo
Metlife Securities Inc Falmouth ME 02/2015 03/2017
Massachusetts Mutual Life Insurance Company Springfield MA 07/2016 05/2021
Mml Investors Services, Llc Falmouth ME 03/2016 05/2021
Baystate Financial Falmouth ME 02/2015 05/2021
Insight Folios Windham ME 05/2021 06/2025
Mass Mutual Life Insurance Co Falmouth ME 07/2016 05/2021
Purshe Kaplan Sterling Investments Windham ME 05/2021 06/2025
Cetera Investment Advisers Llc Schaumburg IL 06/2025 Present
Cetera Wealth Services Llc El Segundo CA 06/2025 Present
  • 02/2015 → 03/2017
    Metlife Securities Inc
    Falmouth, ME
  • 07/2016 → 05/2021
    Massachusetts Mutual Life Insurance Company
    Springfield, MA
  • 03/2016 → 05/2021
    Falmouth, ME
  • 02/2015 → 05/2021
    Baystate Financial
    Falmouth, ME
  • 05/2021 → 06/2025
    Windham, ME
  • 07/2016 → 05/2021
    Mass Mutual Life Insurance Co
    Falmouth, ME
  • 05/2021 → 06/2025
    Purshe Kaplan Sterling Investments
    Windham, ME
  • 06/2025 → Present
    Schaumburg, IL
  • 06/2025 → Present
    Cetera Wealth Services Llc
    El Segundo, CA
Previous Registrations
  • 2021-05-20 → 2025-07-01
    Charlotte, NC
    Windham, ME
  • 2017-03-25 → 2021-06-03
    Falmouth, ME
  • 2015-06-08 → 2020-03-06
    Falmouth, ME
    Overland Park,, KS
  • 2015-02-10 → 2017-03-25
    Msi Financial Services, Inc.
    Falmouth, ME
  • 2009-06-01 → 2015-01-26
    Portland, ME
    Portland, ME
  • 2008-06-04 → 2009-06-01
    Morgan Stanley & Co. Llc
    Portland, ME
  • 2006-08-01 → 2008-06-05
    Cetera Advisors Llc
    Iselin, NJ
    Portland, ME
  • 2005-11-29 → 2006-08-14
    Financial Benefit Services Corporation
    Portland, ME
  • 2005-10-26 → 2006-08-02
    Raymond James Financial Services, Inc.
    South Portland, ME
    Portland, ME
Other Businesses

1. NAME OF OTHER BUSINESS: CETERA WEALTH PARTNERS INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 06/2025 POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: PROVIDE FINANCIAL SERVICES;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-10-21
S63 Uniform Securities Agent State Law Examination 2002-03-08
  • S66 Uniform Combined State Law Examination
    2005-10-21
  • S63 Uniform Securities Agent State Law Examination
    2002-03-08
Designations

View on SEC IAPD

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