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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
CT RA APPROVED 2024-03-21
TX RA APPROVED_RES 2024-03-21
  • CT RA
    APPROVED
    Since 2024-03-21
  • TX RA
    APPROVED_RES
    Since 2024-03-21

Branch Locations

Trumbull, CT • 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 No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Cetera Advisors Llc Denver CO 01/2016 Present
Cetera Investment Advisers Llc Schaumburg IL 03/2024 Present
Previous Registrations
  • 2011-10-11 → 2016-01-15
    Stamford, CT
    Norwalk, CT
    Darien, CT
    Shelton, CT
    New Haven, CT
    New Haven, CT
    West Haven, CT
    Stratford, CT
    Trumbull, CT
    Orange, CT
  • 2007-02-13 → 2011-10-11
    Uvest Financial Services Group, Inc.
    New Haven, CT
    Shelton, CT
    West Haven, CT
    New Haven, CT
    Woodbridge, CT
  • 2006-08-08 → 2007-02-13
    Webster Investment Services, Inc.
    Kensington, CT
    New Haven, CT
  • 2005-07-05 → 2006-07-31
    Newalliance Investments, Inc.
    New Haven, CT
    New Haven, CT
  • 2004-02-10 → 2005-07-08
    Stamford, CT
Other Businesses

1. FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED, SAME AS REGISTERED LOCATION, FIXED INSURANCE, START DATE: 12/2015, INSURANCE AGENT , APX NUMBER OF HOURS PER WEEK: VARIES, APX NUMBER OF HOURS DURING TRADING HOURS: VARIES, SELLS LIFE, HEALTH, AND ANNUITIES

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-02-09
S63 Uniform Securities Agent State Law Examination 1996-09-12
  • S66 Uniform Combined State Law Examination
    2004-02-09
  • S63 Uniform Securities Agent State Law Examination
    1996-09-12

View on SEC IAPD

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