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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
TX RA APPROVED_RES 2023-02-27
CA RA APPROVED 2003-04-30
  • TX RA
    APPROVED_RES
    Since 2023-02-27
  • CA RA
    APPROVED
    Since 2003-04-30

Branch Locations

7511 N Remington Avenue Suite 101, Fresno, CA 93711 • 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 Financial Specialists Llc Schaumburg IL 02/2002 Present
Dristas Groom Mccormick Llp Fresno CA 02/2001 Present
Cetera Investment Advisers Llc Schaumburg IL 04/2003 Present
  • 02/2002 → Present
    Cetera Financial Specialists Llc
    Schaumburg, IL
  • 02/2001 → Present
    Dristas Groom Mccormick Llp
    Fresno, CA
  • 04/2003 → Present
    Schaumburg, IL
Other Businesses

1)DRISTAS GROOM MCCORMICK LLP - NOT INVESTMENT RELATED; 7511 N REMINGTON AVENUE, SUITE 101 FRESNO, CA 93711; ACCOUNTING FIRM - TAXES WITH POWER OF ATTORNEY FOR IRS AND OTHER TAX MATTERS, FINANCIAL STATEMENTS AND OTHER RELATED; CPA EMPLOYEE OF FIRM; 40 HRS/WEEK AND 25 DURING TRADING SINCE 2/2001: 2) JOANNA VITALE - NOT INVESTMENT RELATED; 9062 N. BACKER AVENUE FRESNO, CA 93720; BOOKKEEPING AND TAXES, OTHER MISC ACCOUNTING WORK; CPA CONSULTANT FOR SPOUSES BUSINESS 5 HOURS A WEEK/ 0 DURING TRADING; SINCE 06/1999: 3)NAME OF OTHER BUSINESS: REMINGTON PROPERTIES LLC ; INVESTMENT RELATED: NO ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: RENTAL PROPERTY ; POSITION/TITLE/RELATIONSHIP: CO-OWNER / MANAGING MEMBER ; START DATE: 11/2015 ; APX NUMBER OF HOURS PER WEEK: 1-2 ; APX NUMBER OF HOURS DURING TRADING HOURS: 1-2 ; BRIEF DESCRIPTION OF DUTIES: ENTITY CREATED FOR LIABILITY PROTECTION FOR THE BUILDING

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-08-09
  • S66 Uniform Combined State Law Examination
    2002-08-09

View on SEC IAPD

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