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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 2024-05-13
UT RA APPROVED 2021-08-11
NY RA APPROVED 2021-03-31
  • TX RA
    APPROVED_RES
    Since 2024-05-13
  • UT RA
    APPROVED
    Since 2021-08-11
  • NY RA
    APPROVED
    Since 2021-03-31

Branch Locations

1 Blue Hill Plaza, 7Th Floor Suite 4373, Pearl River, NY 10965 • United States

Ivins, UT • 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 Financial Services Nanuet NY 12/2003 06/2019
Foresters Financial Advisory Services Llc Nanuet NY 03/2013 06/2019
Cetera Investment Services Llc St Cloud MN 06/2019 Present
Cetera Investment Advisers Llc Pearl River NY 06/2019 Present
  • 12/2003 → 06/2019
    Foresters Financial Services
    Nanuet, NY
  • 03/2013 → 06/2019
    Foresters Financial Advisory Services Llc
    Nanuet, NY
  • 06/2019 → Present
    Cetera Investment Services Llc
    St Cloud, MN
  • 06/2019 → Present
    Pearl River, NY
Previous Registrations
  • 2019-06-04 → 2019-06-25
    Foresters Advisory Services, Llc
    Pearl River, NY
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2019-05-09
S63 Uniform Securities Agent State Law Examination 2004-01-02
  • S65 Uniform Investment Adviser Law Examination
    2019-05-09
  • S63 Uniform Securities Agent State Law Examination
    2004-01-02

View on SEC IAPD

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