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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 2021-08-16
CA RA APPROVED 2020-11-12
  • TX RA
    APPROVED_RES
    Since 2021-08-16
  • CA RA
    APPROVED
    Since 2020-11-12

Branch Locations

333 S. Anita Drive-Suite 700, Orange, CA 92868 • 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
Orange Capital Management Orange CA 03/1997 Present
First Allied Securities, Inc. Orange CA 05/2008 09/2022
First Allied Advisory Services, Inc Orange CA 05/2008 11/2020
First Allied Advisory Services Schaumburg IL 11/2020 11/2020
Cetera Advisors Llc Orange CA 09/2022 Present
Cetera Investment Advisers Llc Schaumburg IL 11/2020 Present
  • 03/1997 → Present
    Orange Capital Management
    Orange, CA
  • 05/2008 → 09/2022
    First Allied Securities, Inc.
    Orange, CA
  • 05/2008 → 11/2020
    First Allied Advisory Services, Inc
    Orange, CA
  • 11/2020 → 11/2020
    First Allied Advisory Services
    Schaumburg, IL
  • 09/2022 → Present
    Cetera Advisors Llc
    Orange, CA
  • 11/2020 → Present
    Schaumburg, IL
Previous Registrations
  • 2007-01-01 → 2020-11-12
    First Allied Advisory Services, Inc.
    Chesterfield, MO
    Orange, CA
  • 1997-12-18 → 2007-01-01
    Ffp Advisory Services Inc
    Orange, CA
Other Businesses

1. FRISCO ESCUDERO; AGENT; INSURANCE; START DATE 02/05/2008 2. ORANGE CAPITAL MANAGEMENT, INC.; DBA Registered Representative STARTED 05/30/2008. 3. RETIREMENT PLANNING TODAY BY FINANCIAL EDUCATORS NETWORK; FINANCIAL ADVISOR; EDUCATION/TEACHING; START DATE: 9/26/2019; 24 HOURS PER MONTH; 4. NAME OF OTHER BUSINESS: ADVANCED TIME SEGMENTATION (ATS); INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: SOFTWARE; START DATE: 10/2009; POSITION/TITLE/RELATIONSHIP: COACH; APX NUMBER OF HOURS PER WEEK: 5; APX NUMBER OF HOURS DURING TRADING HOURS: 5; BRIEF DESCRIPTION OF DUTIES: PROVIDE COACHING ON FINANCIAL PLANNING SOFTWARE;

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-06-08
S63 Uniform Securities Agent State Law Examination 1996-11-22
  • S65 Uniform Investment Adviser Law Examination
    1999-06-08
  • S63 Uniform Securities Agent State Law Examination
    1996-11-22
Other Names
  • Francisco Escudero

View on SEC IAPD

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