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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
CA RA APPROVED 2020-11-12
TX RA APPROVED_RES 2020-11-12
  • CA RA
    APPROVED
    Since 2020-11-12
  • TX RA
    APPROVED_RES
    Since 2020-11-12

Branch Locations

2377 Gold Meadow Way Ste 100, Gold River, CA 95670 • United States

1817 Maryal Drive Suite 200, Sacramento, CA 95864 • 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
First Allied Securities,Inc San Diego CA 03/2004 09/2022
First Allied Advisory Services, Inc. Chesterfield MO 07/2012 11/2020
Cetera Advisors Llc Sacramento CA 09/2022 Present
Cetera Investment Advisers Llc Schaumburg IL 11/2020 Present
  • 03/2004 → 09/2022
    First Allied Securities,Inc
    San Diego, CA
  • 07/2012 → 11/2020
    First Allied Advisory Services, Inc.
    Chesterfield, MO
  • 09/2022 → Present
    Cetera Advisors Llc
    Sacramento, CA
  • 11/2020 → Present
    Schaumburg, IL
Previous Registrations
  • 2012-07-02 → 2020-11-12
    First Allied Advisory Services, Inc.
    Chesterfield, MO
    Sacramento, CA
    Gold River, CA
  • 2006-12-18 → 2012-07-02
    First Allied Securities, Inc.
    Sacramento, CA
    Sacramento, CA
    Gold River, CA
  • 2002-11-21 → 2004-03-25
    Quick & Reilly, Inc.
    San Francisco, CA
  • 2000-09-05 → 2002-07-10
    Sacramento, CA
Other Businesses

1.) PATRICK MCLAUGHLIN TAX PREPARATION; SOLE PROPRIETOR; NON-CPA ACCOUNTING AND/OR TAX PREPARATION; START DATE:1/1/2009 2.) MCLAUGHLIN WEALTH ADVISOR; ADVISOR; DBA (OFFERS ONLY FIRST ALLIED PRODUCTS); START DATE: 06/06/2017; 160 HOURS PER MONTH.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1996-09-09
S65 Uniform Investment Adviser Law Examination 1996-09-09
  • S63 Uniform Securities Agent State Law Examination
    1996-09-09
  • S65 Uniform Investment Adviser Law Examination
    1996-09-09

View on SEC IAPD

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