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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
NC RA APPROVED 2020-11-18
  • NC RA
    APPROVED
    Since 2020-11-18

Branch Locations

501 Fayetteville St Floor 7, Raleigh, NC 27601 • 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
Suntrust Investment Services, Inc. Atlanta GA 01/2015 09/2016
Suntrust Advisory Services Atlanta GA 09/2016 06/2018
Pnc Investments Raleigh NC 06/2018 12/2018
Cetera Investment Services Llc St Cloud MN 11/2020 Present
Cetera Investment Advisers Llc State College PA 11/2020 Present
First National Bank Of Pa State College PA 11/2020 Present
Pnc Investments Raleigh NC 12/2018 11/2020
  • 01/2015 → 09/2016
    Suntrust Investment Services, Inc.
    Atlanta, GA
  • 09/2016 → 06/2018
    Suntrust Advisory Services
    Atlanta, GA
  • 06/2018 → 12/2018
    Pnc Investments
    Raleigh, NC
  • 11/2020 → Present
    Cetera Investment Services Llc
    St Cloud, MN
  • 11/2020 → Present
    State College, PA
  • 11/2020 → Present
    First National Bank Of Pa
    State College, PA
  • 12/2018 → 11/2020
    Pnc Investments
    Raleigh, NC
Previous Registrations
Other Businesses

FIRST NATIONAL TRUST COMPANY AND FNB INVESTMENT ADVISORS INC, WEALTH ADVISOR, DOES NOT MAKE INVESTMENT DECISIONS, DOES NOT PARTICIPATE IN THE EXECUTION OF TRANSACTIONS, DOES NOT RECOMMEND SPECIFIC INVESTMENT PROTFOLIOS

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-04-10
S63 Uniform Securities Agent State Law Examination 1996-11-07
  • S66 Uniform Combined State Law Examination
    2015-04-10
  • S63 Uniform Securities Agent State Law Examination
    1996-11-07
Other Names
  • Steffenie Perry
  • Steffenie Perry
  • Steffen M Perry
  • Steffen Michelle Shaffer

View on SEC IAPD

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