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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 2023-02-13
PA RA APPROVED 2015-10-13
  • TX RA
    APPROVED_RES
    Since 2023-02-13
  • PA RA
    APPROVED
    Since 2015-10-13

Branch Locations

1425 11Th Ave Lower Level, Altoona, PA 16601 • 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
Summit Brokerage Services Altoona PA 09/2015 09/2019
Cetera Investment Advisers Llc Altoona PA 10/2015 Present
Summit Financial Group Inc Altoona PA 05/2016 05/2021
Cetera Wealth Services, Llc El Segundo CA 09/2019 Present
  • 09/2015 → 09/2019
    Summit Brokerage Services
    Altoona, PA
  • 10/2015 → Present
    Altoona, PA
  • 05/2016 → 05/2021
    Summit Financial Group Inc
    Altoona, PA
  • 09/2019 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
Previous Registrations
  • 2016-05-06 → 2021-05-20
    Summit Financial Group Inc
    Altoona, PA
  • 2011-09-23 → 2015-12-31
    J P Turner & Company Capital Management, Llc
    Altoona, PA
  • 2006-08-16 → 2011-09-27
    Altoona, PA
  • 2004-05-27 → 2005-12-31
    Altoona, PA
  • 2001-02-01 → 2004-12-31
    Solid Investments Llc
    Altoona, PA
Other Businesses

(1) PLATINUM WEALTH STRATEGIES LLC.801 10TH AVENUE, ALTOONA PA 16601.1/3 OWNER.FINANCIAL SERVICES.DBA FOR CETERA ADVISOR NETWORKS.PLATINUM WEALTH STRATEGIES ONLINE.COM.START DATE-09/2011 (2) QUANTITATIVE STRATEGIES GROUP, LLC., SAME AS RESIDENTIAL LOCATION. BUSINESS CONSULTING - START DATE 1/2006 FILE ANNUAL TAX RETURN. NOT INVESTMENT RELATED. (3) NAME OF OTHER BUSINESS: PERIWINKLE STABLES, LLC INVESTMENT RELATED: NO ADDRESS: 731 PARKSIDE DRIVE, ALTOONA, PA 16601 NATURE OF BUSINESS: HORSE BARN START DATE: 1/2021 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: 0 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: I OWN THE PROPERTY THE BARN AND HORSES THE LLC IS FOR INSURANCE PURPOSES. IT IS FOR MY WIFE AND DAUGHTER;

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-04-08
S63 Uniform Securities Agent State Law Examination 1997-01-03
  • S65 Uniform Investment Adviser Law Examination
    1999-04-08
  • S63 Uniform Securities Agent State Law Examination
    1997-01-03

View on SEC IAPD

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