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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
FL RA APPROVED 2023-08-08
  • FL RA
    APPROVED
    Since 2023-08-08

Branch Locations

Jacksonville, FL • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Voya Financial Partners, Inc. Denver PA 09/2014 06/2021
Cetera Wealth Services, Llc El Segundo CA 06/2021 Present
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
Independence Financial Planning, Llc Jacksonville FL 01/2024 Present
  • 09/2014 → 06/2021
    Voya Financial Partners, Inc.
    Denver, PA
  • 06/2021 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 06/2023 → Present
    Schaumburg, IL
  • 01/2024 → Present
    Independence Financial Planning, Llc
    Jacksonville, FL
Previous Registrations
  • 2014-09-19 → 2021-06-09
    Williamsport, PA
    Denver, PA
    Windsor, CT
  • 2008-02-11 → 2014-09-09
    World Investments, Llc
    Denver, PA
    Lincroft, NJ
    King Of Prussia, PA
    King Of Prussia, PA
Other Businesses

1) NAME OF OTHER BUSINESS: INDEPENDENCE FINANCIAL PLANNING, LLC; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 01/2024; POSITION/TITLE/RELATIONSHIP: MANAGING PARTNER/ FINANCIAL PROFESSIONAL; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 2) NAME OF ENTITY: Independent Insurance Agent; Yes; 8 HERON DR; DENVER; PA; 17517; fixed insurance sales; Independent Insurance Agent; 9/9/2014; 40; 0; sales of fixed insurance products|

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2008-02-08
S63 Uniform Securities Agent State Law Examination 1998-09-15
  • S65 Uniform Investment Adviser Law Examination
    2008-02-08
  • S63 Uniform Securities Agent State Law Examination
    1998-09-15

View on SEC IAPD

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