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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
NC RA APPROVED 2026-01-06
CA RA APPROVED 2012-07-16
  • NC RA
    APPROVED
    Since 2026-01-06
  • CA RA
    APPROVED
    Since 2012-07-16

Branch Locations

Torrance, CA • United States

Mooresville, NC • United States

2301 Rosecrans Ave #5100, El Segundo, CA 90245 • United States

Avantax Planning Partners, Inc.

210 Jones St Ste. 104, Dubuque, IA 52001 • United States

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2026-01-06
CA RA APPROVED 2024-04-18
  • NC RA
    APPROVED
    Since 2026-01-06
  • CA RA
    APPROVED
    Since 2024-04-18

Branch Locations

Mooresville, NC • United States

Torrance, CA • United States

2301 Rosecrans Ave #5100, El Segundo, CA 90245 • 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 07/2012 Present
Cetera Advisors Llc Denver CA 01/2013 Present
Cetera Wealth Services, Llc El Segundo CA 01/2013 Present
Cetera Investment Services Llc Saint Cloud MN 01/2013 Present
Cetera Investment Advisers Llc Schaumburg IL 01/2014 Present
Vsr Financial Services, Inc. Overland Park KS 09/2015 11/2016
Girard Securities, Inc. San Diego CA 09/2015 11/2017
Investors Capital Corp. Lynnfield MA 09/2015 11/2016
Legend Equities Corporation Palm Beach Gardens FL 09/2015 12/2016
First Allied Securities, Inc. San Diego CA 09/2015 09/2022
Summit Brokerage Services, Inc. Boca Raton FL 09/2015 Present
Avantax Investment Services Dallas TX 04/2024 09/2025
Avantax Advisory Services Dallas TX 04/2024 09/2025
Avantax Planning Partners Dallas TX 04/2024 Present
  • 07/2012 → Present
    Cetera Financial Specialists Llc
    Schaumburg, IL
  • 01/2013 → Present
    Cetera Advisors Llc
    Denver, CA
  • 01/2013 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 01/2013 → Present
    Cetera Investment Services Llc
    Saint Cloud, MN
  • 01/2014 → Present
    Schaumburg, IL
  • 09/2015 → 11/2016
    Vsr Financial Services, Inc.
    Overland Park, KS
  • 09/2015 → 11/2017
    Girard Securities, Inc.
    San Diego, CA
  • 09/2015 → 11/2016
    Investors Capital Corp.
    Lynnfield, MA
  • 09/2015 → 12/2016
    Legend Equities Corporation
    Palm Beach Gardens, FL
  • 09/2015 → 09/2022
    First Allied Securities, Inc.
    San Diego, CA
  • 09/2015 → Present
    Summit Brokerage Services, Inc.
    Boca Raton, FL
  • 04/2024 → 09/2025
    Avantax Investment Services
    Dallas, TX
  • 04/2024 → 09/2025
    Avantax Advisory Services
    Dallas, TX
  • 04/2024 → Present
    Avantax Planning Partners
    Dallas, TX
Previous Registrations
  • 2024-04-18 → 2025-09-05
    Avantax Advisory Services
    El Segundo, CA
Other Businesses

1. NAME OF OTHER BUSINESS: DBA NEMAR PROPERTIES; INVESTMENT RELATED: NO; ADDRESS: SAME AS RESIDENTIAL LOCATION; NATURE OF BUSINESS: RENTAL PROPERTY; START DATE: 7/2026; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: VARIES; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES; BRIEF DESCRIPTION OF DUTIES: RENTAL OF PERSONAL PROPERTY;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-01-04
S63 Uniform Securities Agent State Law Examination 2000-07-20
  • S66 Uniform Combined State Law Examination
    2008-01-04
  • S63 Uniform Securities Agent State Law Examination
    2000-07-20

View on SEC IAPD

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