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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
IL RA APPROVED 2009-07-02
  • IL RA
    APPROVED
    Since 2009-07-02

Branch Locations

5435 W. Bull Valley Road #108, Mchenry, IL 60050 • 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 Financial Specialists Llc Schaumburg IL 10/2005 Present
Cetera Investment Advisers Llc Schaumburg IL 06/2009 Present
Huff Enterprises Inc, Dba John W Huff Cpa Mchenry IL 01/1998 Present
  • 10/2005 → Present
    Cetera Financial Specialists Llc
    Schaumburg, IL
  • 06/2009 → Present
    Schaumburg, IL
  • 01/1998 → Present
    Huff Enterprises Inc, Dba John W Huff Cpa
    Mchenry, IL
Other Businesses

1) NAME OF OTHER BUSINESS: HUFF ENTERPRISES INC, DBA JOHN W HUFF CPA, INVESTMENT RELATED: NO, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: TAX AND ACCOUNTING, START DATE:01/1998, POSITION/TITLE/RELATIONSHIP: OWNER/CPA, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: VARIES, BRIEF DESCRIPTION OF DUTIES: PERFORMS ACCOUNTING AND TAX SERVICES; 2) NAME OF OTHER BUSINESS: MCHENRY CHAMBER OF COMMERCE ; INVESTMENT RELATED: NO ; ADDRESS: 1257 GREEN ST, MCHENRY IL 60050 ; NATURE OF BUSINESS: MUNICIPAL CHAMBER ; START DATE: 01/2019 ; POSITION/TITLE/RELATIONSHIP: TREASURER ; APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 1 BRIEF DESCRIPTION OF DUTIES: COLLECT DUES AND DELIVER TO BOOKKEEPER. REVIEW ACCT ACTIVITY FOR CHAMBER ;

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-11-30
S63 Uniform Securities Agent State Law Examination 1997-11-04
  • S65 Uniform Investment Adviser Law Examination
    1999-11-30
  • S63 Uniform Securities Agent State Law Examination
    1997-11-04

View on SEC IAPD

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