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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
OH RA APPROVED 2012-03-26
  • OH RA
    APPROVED
    Since 2012-03-26

Branch Locations

5621 Market St, Boardman, OH 44512 • United States

Boardman, OH • 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
Sullivan'S Bookkeeping And Tax Service Boardman OH 01/2000 Present
Cetera Financial Specialists Llc Schaumburg IL 03/2012 Present
Cetera Investment Advisers Llc Schaumburg IL 03/2012 Present
  • 01/2000 → Present
    Sullivan'S Bookkeeping And Tax Service
    Boardman, OH
  • 03/2012 → Present
    Cetera Financial Specialists Llc
    Schaumburg, IL
  • 03/2012 → Present
    Schaumburg, IL
Previous Registrations
Other Businesses

1) SULLIVANS TAX SERVICE; NOT INV REL; BOARDMAN, OH; MANAGER; STARTED 2000; 160 HRS/MTH DURING SECURITIES TRADING HRS: 2) NAME OF OTHER BUSINESS: N/A INVESTMENT RELATED: NO ADDRESS: 5621 MARKET ST. BOARDMAN OH 44512 NATURE OF BUSINESS: COMERCIAL& RESIDENTIAL RENTAL START DATE: 8/2017 APX NUMBER OF HOURS PER WEEK: 0 APX NUMBER OF HOURS DURING TRADING HOURS: 0 POSITION/TITLE/RELATIONSHIP: OWNER BRIEF DESCRIPTION OF DUTIES: RENTING SPACE TO TENANTS:

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2002-08-07
  • S63 Uniform Securities Agent State Law Examination
    2002-08-07
Other Names
  • Kathleen Joyce Sullivan
  • K. J. Sullivan
  • K. J. Kalosky

View on SEC IAPD

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