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

Branch Locations

101 W Main St Suite 104, Carnegie, PA 15106 • United States

Securities Brokerage Services

101 West Main Street #104, Carnegie, PA 15106-2427 • United States

Current Registrations

AuthorityCategoryStatusDate
PA RA APPROVED 2017-01-26
  • PA RA
    APPROVED
    Since 2017-01-26

Branch Locations

101 West Main Street #104, Carnegie, PA 15106-2427 • 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
Metlife Securities Inc. Pittsburgh PA 04/2012 01/2017
Cetera Wealth Services, Llc El Segundo CA 01/2017 Present
Securities Brokerage Services, Inc Carnegie PA 01/2017 Present
Legacy Consulting Group Carnegie PA 02/2017 05/2017
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
  • 04/2012 → 01/2017
    Metlife Securities Inc.
    Pittsburgh, PA
  • 01/2017 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 01/2017 → Present
    Securities Brokerage Services, Inc
    Carnegie, PA
  • 02/2017 → 05/2017
    Legacy Consulting Group
    Carnegie, PA
  • 06/2023 → Present
    Schaumburg, IL
Previous Registrations
  • 2012-06-18 → 2016-12-22
    Msi Financial Services, Inc.
    Pittsburgh, PA
  • 2010-12-08 → 2012-06-01
    Carnegie, PA
    Summit, NJ
  • 2007-09-07 → 2010-11-09
    New England Securities
    Pittsburgh, PA
    Pittsburgh, PA
Other Businesses

(1) NAME OF OTHER BUSINESS: SECURITIES BROKERAGE SERVICES, INC. INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: ADVISORY BUSINESS POSITION/TITLE/RELATIONSHIP: ADVISORY REPRESENTATIVE START DATE: 2/2017 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: FEE BASED INVESTMENT ADVISORY AND CONSULTING SERVICES (2) NAME OF OTHER BUSINESS: SECURITIES BROKERAGE SERVICES, INC.INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION,NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 2/2017,POSITION/TITLE/RELATIONSHIP: RR AND IAR,APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: ORIA ADVISORY SALES, INVESTMENT PRODUCTS AND LIFE INSURANCE. (3) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 2/2017 APX NUMBER OF HOURS PER WEEK: VARIES APX NUMBER OF HOURS DURING TRADING HOURS: VARIES POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE AND ANNUITIES

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-12-21
S63 Uniform Securities Agent State Law Examination 1997-06-25
  • S65 Uniform Investment Adviser Law Examination
    1999-12-21
  • S63 Uniform Securities Agent State Law Examination
    1997-06-25

View on SEC IAPD

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