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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
MA RA APPROVED 2015-01-26
  • MA RA
    APPROVED
    Since 2015-01-26

Branch Locations

7 Henshaw Road, Mattaspoisett, MA 02739 • United States

Disclosures

1 disclosure category 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 No
  • Criminal Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Nfp Securities, Inc Mattapoisett MA 02/2005 Present
Public Employee Educational Retirement Services, Inc Mattapoisett MA 02/2005 Present
Cetera Financial Specialists Llc Schaumburg IL 04/2014 Present
Cetera Investment Advisers Llc Schaumburg IL 12/2014 Present
  • 02/2005 → Present
    Nfp Securities, Inc
    Mattapoisett, MA
  • 02/2005 → Present
    Public Employee Educational Retirement Services, Inc
    Mattapoisett, MA
  • 04/2014 → Present
    Cetera Financial Specialists Llc
    Schaumburg, IL
  • 12/2014 → Present
    Schaumburg, IL
Other Businesses

1) SALES OF FIXED LIFE, DISABILITY, AND LONG TERM CARE INSURANCE AND FIXED ANNUITIES,NON- INVESTMENT RELATED, SAME ADDRESS AS REGISTERED LOCATION: 2) PUBLIC EMPLOYEE EDUCATIONAL RETIREMENT SERVICES, INC., INVESTMENT-RELATED, SAME ADDRESS AS REGISTERED LOCATION, WEALTH MANAGEMENT SERVICES, FINANCIAL ADVISOR:

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2014-12-02
S63 Uniform Securities Agent State Law Examination 1998-11-09
  • S65 Uniform Investment Adviser Law Examination
    2014-12-02
  • S63 Uniform Securities Agent State Law Examination
    1998-11-09

View on SEC IAPD

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