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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

1800 West Park Dr Ste 150, Westborough, MA 01581 • 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 Advisors Llc Denver CO 01/2013 Present
Cetera Investment Advisers Llc Schaumburg IL 03/2024 Present
Other Businesses

1.CCR WEALTH MANAGEMENT, SAME AS OFFICE ADDRESS, DBA FOR SECURITIES BUSINESS AND FIXED INSURANCE. 2. NAME OF OTHER BUSINESS: DAVID BEROWITZ INSURANCE TRUST INVESTMENT RELATED: NO, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: INSURANCE TRUST, START DATE: 09/2021, POSITION/TITLE/RELATIONSHIP: CO-TRUSTEE, LESS THAN ONE HOUR PER WEEK, MAY BE DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: CO -TRUSTEE SERVICES; 3. NAME OF OTHER BUSINESS: TRUSTEE FOR 2 CLIENTS' TRUSTS; INVESTMENT RELATED: YES; ADDRESS: 84 N MAIN ST, SHERBORN, MA 01770; NATURE OF BUSINESS: TRUST; START DATE: 1/2023; POSITION/TITLE/RELATIONSHIP: TRUSTEE; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 2; BRIEF DESCRIPTION OF DUTIES: ACT AS TRUSTEE; 4. NAME OF OTHER BUSINESS: TRUSTEE FOR CLIENTS TRUST ; INVESTMENT RELATED: NO; ADDRESS: 20 EXETER ST NEWTON, MA 02465; NATURE OF BUSINESS: TRUST; START DATE: 06/2023; POSITION/TITLE/RELATIONSHIP: TRUSTEE; APX NUMBER OF HOURS PER WEEK: VARIES; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES; BRIEF DESCRIPTION OF DUTIES: TRUSTEE FOR IRREVOCABLE TRUST;

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-09-25
S63 Uniform Securities Agent State Law Examination 2003-08-25
  • S65 Uniform Investment Adviser Law Examination
    2006-09-25
  • S63 Uniform Securities Agent State Law Examination
    2003-08-25
Designations

View on SEC IAPD

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