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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 2023-06-29
  • CA RA
    APPROVED
    Since 2023-06-29

Branch Locations

2300 First Street Ste 350, Livermore, CA 94550 • 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
Wells Fargo Advisors Llc San Francisco CA 07/2011 11/2016
Wells Fargo Clearing Services, Llc San Francisco CA 11/2016 09/2021
Cetera Wealth Services, Llc El Segundo CA 09/2021 Present
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
Previous Registrations
  • 2011-08-02 → 2021-10-06
    Corte Madera, CA
    San Francisco, CA
    San Francisco, CA
    San Francisco, CA
    San Francisco, CA
  • 2009-10-01 → 2011-08-11
    San Jose, CA
    Los Gatos, CA
    San Jose, CA
    Los Altos, CA
    Los Altos, CA
    San Jose, CA
    Soquel, CA
    Santa Cruz, CA
    Morgan Hill, CA
    Salinas, CA
    Santa Clara, CA
    Gilroy, CA
    Salinas, CA
    Aptos, CA
    Los Gatos, CA
    Saratoga, CA
    Santa Cruz, CA
    Freedom, CA
    Salinas, CA
    San Jose, CA
  • 2007-07-05 → 2007-10-02
    San Leandro, CA
  • 2006-01-23 → 2007-04-13
    Wamu Investments, Inc.
    Sacramento, CA
    Palo Alto, CA
    Portola Valley, CA
    San Jose, CA
Other Businesses

1. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 08/1997 APX NUMBER OF HOURS PER WEEK: 2 APX NUMBER OF HOURS DURING TRADING HOURS: 2 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, ANNUITIES AND LONG-TERM CARE

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-06-10
S63 Uniform Securities Agent State Law Examination 1997-03-27
  • S65 Uniform Investment Adviser Law Examination
    1998-06-10
  • S63 Uniform Securities Agent State Law Examination
    1997-03-27

View on SEC IAPD

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