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

Branch Locations

73 Redding Rd, Georgetown, CT 06829 • United States

Willis Towers Watson Securities, Llc

233 South Wacker Drive Suite 1800, Chicago, IL 60606 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2022-12-21
  • NY RA
    APPROVED
    Since 2022-12-21

Branch Locations

200 Liberty Street 6Th Floor, New York, NY 10281 • 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
Cetera Wealth Services, Llc El Segundo CA 09/2013 Present
Amazon Flex Seattle WA 07/2021 10/2023
Georgetown Financial Group, Inc Georgetown CT 05/2009 Present
Lido Consulting Group Llc Farmington CT 12/2022 Present
Willis Towers Watson Securities, Llc New York NY 12/2022 Present
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
Robin'S Nest Farmington CT 07/2026 Present
  • 09/2013 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 07/2021 → 10/2023
    Amazon Flex
    Seattle, WA
  • 05/2009 → Present
    Georgetown Financial Group, Inc
    Georgetown, CT
  • 12/2022 → Present
    Lido Consulting Group Llc
    Farmington, CT
  • 12/2022 → Present
    New York, NY
  • 06/2023 → Present
    Schaumburg, IL
  • 07/2026 → Present
    Robin'S Nest
    Farmington, CT
Previous Registrations
  • 2009-06-08 → 2013-09-03
    Tower Square Securities, Inc.
    Georgetown, CT
  • 2005-06-06 → 2009-05-11
    Lincoln Financial Distributors, Inc.
    Hartford, CT
    Hartford, CT
  • 2005-01-13 → 2005-05-23
    Glastonbury, CT
  • 2003-03-14 → 2003-12-03
    Tower Square Securities, Inc.
    Hartford, CT
Other Businesses

1. GEORGETOWN FINANCIAL GROUP, INVESTMENT RELATED, SAME AS REGISTERED ADDRESS, DBA NAME FOR FINANCIAL SERVICES, START 05/2009, 40HRS/WK (32.5 TRADING HOURS), CHIEF OPERATING OFFICER, WEALTH MANAGEMENT DIVISION - DAY-TO-DAY COMPLIANCE/OPERATIONS ACTIVITIES; 2. NAME OF OTHER BUSINESS: LIDO CONSULTING GROUP LLC; INVESTMENT RELATED: NO; ADDRESS: SAME AS RESIDENTIAL LOCATION; NATURE OF BUSINESS: COMPLIANCE CONSULTING SERVICES; START DATE: 12/2022; POSITION/TITLE/RELATIONSHIP: OWNER/PRESIDENT; APX NUMBER OF HOURS PER WEEK: 4; APX NUMBER OF HOURS DURING TRADING HOURS: 4; BRIEF DESCRIPTION OF DUTIES: ASSIST WITH FINRA FILINGS, COMPLIANCE AND REGULATORY OVERSIGHT; 3. NAME OF OTHER BUSINESS: WILLIS TOWERS WATSON SECURITIES, LLC -, INVESTMENT RELATED: YES, ADDRESS: ADDRESS: 200 LIBERTY ST, 6TH FLOOR, NEW YORK, NY, 10281, NATURE OF BUSINESS: ADVISORY SERVICES, POSITION/TITLE/RELATIONSHIP: IAR, START DATE: 12/2022, APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: COMPLIANCE OVERSIGHT, REGULATORY INTERACTION, AND AUDIT FUNCTIONS; 4. NAME OF OTHER BUSINESS: WILLIS TOWER WATSON SECURITIES, LLC, INVESTMENT RELATED: YES, ADDRESS: 200 LIBERTY ST, 6TH FLOOR, NEW YORK, NY, 10281, NATURE OF BUSINESS: BROKER DEALER, START DATE: 12/2022, POSITION/TITLE/RELATIONSHIP: PART TIME CCO, APX NUMBER OF HOURS PER WEEK: 4, MAY BE DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: DUAL AFFILIATION TO OVERSEE ALL COMPLIANCE, REGULATORY INTERACTION, AND AUDIT FUNCTIONS. 5. NAME OF OTHER BUSINESS: ROBIN'S NEST INVESTMENT RELATED: N ADDRESS: 21 FAIRLAWN STREET FARMINGTON CT 06032 NATURE OF BUSINESS: TO CREATE AND PUBLISH ORIGINAL LIFESTYLE AND PERSONAL-INTEREST CONTENT THROUGH AN ONLINE NEWSLETTER AND RELATED SOCIAL MEDIA PLATFORMS. START DATE: 08/2026 POSITION/TITLE/RELATIONSHIP: OWNER/ CONTENT CREATOR APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: OWNER AND PUBLISHER OF "MY ROBIN'S NEST," A PERSONAL ONLINE PUBLICATION AND RELATED SOCIAL MEDIA PRESENCE FOCUSED ON LIFESTYLE, TRAVEL, WELLNESS, PERSONAL REFLECTIONS, NOSTALGIA, AND GENERAL INTEREST CONTENT. THE PUBLICATION IS INTENDED FOR EDUCATIONAL, INFORMATIONAL, AND ENTERTAINMENT PURPOSES ONLY AND IS UNRELATED TO SECURITIES, INVESTMENT ADVICE, FINANCIAL PLANNING, OR ADVISORY SERVICES

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2000-11-16
S63 Uniform Securities Agent State Law Examination 1997-07-02
  • S66 Uniform Combined State Law Examination
    2000-11-16
  • S63 Uniform Securities Agent State Law Examination
    1997-07-02
Other Names
  • Robin Diane Condon

View on SEC IAPD

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