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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MA | RA | APPROVED | 2024-03-21 |
Branch Locations
40 Speen Street Suite 202, Framingham, MA 01701 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Investors Capital Corp | Lynnfield | MA | 12/2009 | 10/2016 |
| Cetera Advisors Llc | Denver | CO | 10/2016 | Present |
| Northeast Investment Advisors, Llc | Framingham | MA | 01/2001 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 03/2024 | Present |
(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: 2001; APX NUMBER OF HOURS PER WEEK: 2 HOURS; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SELLS LIFE AND ANNUITIES. (2) NAME OF OTHER BUSINESS: DBA NORTHEAST INVESTMENT ADVISORS, LLC; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 2001; POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR; APX NUMBER OF HOURS PER WEEK: 40 HOURS; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 HOURS; BRIEF DESCRIPTION OF DUTIES: DBA FOR SECURITIES BUSINESS. (3) NAME OF OTHER BUSINESS: SWEENEY LIVING TRUST; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FAMILY TRUST; START DATE: 12/31/2010; POSITION/TITLE/RELATIONSHIP: EXECUTOR; APX NUMBER OF HOURS PER WEEK: 0 HOURS; APX NUMBER OF HOURS DURING TRADING HOURS: N/A; BRIEF DESCRIPTION OF DUTIES: PROCESSING THE ESTATE. (4) NAME OF OTHER BUSINESS: N/A ; INVESTMENT RELATED: NO ; ADDRESS: SAME AS RESIDENTIAL LOCATION ; NATURE OF BUSINESS: T-SHIRT SALES ; START DATE: 03/2020 ; POSITION/TITLE/RELATIONSHIP: CO-OWNER ; APX NUMBER OF HOURS PER WEEK: 6 ; APX NUMBER OF HOURS DURING TRADING HOURS: 6 ; BRIEF DESCRIPTION OF DUTIES: T-SHIRT PRODUCTION AND SALES ;
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2003-03-21 |
| S63 | Uniform Securities Agent State Law Examination | 1999-07-20 |
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