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Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2024-03-21 |
| TX | RA | APPROVED_RES | 2024-03-21 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Investors Capital Corp | Lynnfield | MA | 10/2006 | 10/2016 |
| Cetera Advisors Llc | Denver | CO | 10/2016 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 03/2024 | Present |
1. NAME OF OTHER BUSINESS: SOLE PROPRIETORSHIP (TST, LLC); INVESTMENT RELATED: NO; ADDRESS: 55 EAST 3RD STREET, SAN MATEO, CA 94401; NATURE OF BUSINESS: ADVENTURE TRAINING - ROC WARRIOR; START DATE: 2007; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 2 HOURS; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES; BRIEF DESCRIPTION OF DUTIES: PROVIDE LEADERSHIP, TEAMWORK, ADVENTURE TRAINING. 2. NAME OF OTHER BUSINESS: RYDER INSTITUTE, INC ; INVESTMENT RELATED: NO ; ADDRESS: 55 EAST 3RD STREET SAN MATEO CA 92078 ; NATURE OF BUSINESS: EDUCATIONAL NON-PROFIT ; START DATE: 5/2020 ; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER ; APX NUMBER OF HOURS PER WEEK: LESS THAN 1 ; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1 ; BRIEF DESCRIPTION OF DUTIES: ADVISE AND CONSULT THE COMPANY ON EXPANDING EDUCATIONAL SERVICES AND BUSINESS DEVELOPMENT ; 3. NAME OF OTHER BUSINESS: HERO TRAINING FOUNDATION, INVESTMENT RELATED: NO, ADDRESS: 55 EAST 3RD STREET, SAN MATEO, CA 94401, NATURE OF BUSINESS: NON-PROFIT, START DATE: 12/2024, POSITION/TITLE/RELATIONSHIP: BOARD MEMBER, APX NUMBER OF HOURS PER WEEK: 5, NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: VOTING BOARD MEMBER; 4. NAME OF OTHER BUSINESS: LODA, LLC; INVESTMENT RELATED: NO; ADDRESS: 1209 MOUNTAIN ROAD PL NE STE H, ALBUQUERQUE, NM 87110; NATURE OF BUSINESS: HOME WASTE TREATMENT SYSTEM; START DATE: 6/2025; POSITION/TITLE/RELATIONSHIP: INVENTOR & FOUNDER; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: INVENTOR AND LEADER OF RESEARCH AND DEVELOPMENT;
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-09-10 |
| S63 | Uniform Securities Agent State Law Examination | 1997-08-05 |
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