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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
MA RA APPROVED 2024-03-21
  • MA RA
    APPROVED
    Since 2024-03-21

Branch Locations

40 Speen Street Suite 202, Framingham, MA 01701 • 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
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
  • 12/2009 → 10/2016
    Investors Capital Corp
    Lynnfield, MA
  • 10/2016 → Present
    Cetera Advisors Llc
    Denver, CO
  • 01/2001 → Present
    Northeast Investment Advisors, Llc
    Framingham, MA
  • 03/2024 → Present
    Schaumburg, IL
Previous Registrations
  • 2009-12-16 → 2016-10-03
    Investors Capital Corp.
    Framingham, MA
    Lynnfield, MA
  • 2007-10-03 → 2009-12-16
    Framingham, MA
  • 2007-02-07 → 2007-09-18
    First Midamerica Investment Corporation
    Framingham, MA
  • 2004-10-20 → 2007-02-06
    Banc Of America Investment Services, Inc.
    Providence, RI
    Providence, RI
    Providence, RI
  • 2003-04-08 → 2004-10-20
    Quick & Reilly, Inc.
    Providence, RI
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: 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 ;

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2003-03-21
S63 Uniform Securities Agent State Law Examination 1999-07-20
  • S65 Uniform Investment Adviser Law Examination
    2003-03-21
  • S63 Uniform Securities Agent State Law Examination
    1999-07-20

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