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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
PA RA APPROVED 2025-06-02
  • PA RA
    APPROVED
    Since 2025-06-02

Branch Locations

Schuylkill Haven, PA • 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
M&T Bank Pottsville PA 07/1997 11/2017
M&T Securities Pottsville PA 06/2002 11/2017
Nationwide Securities, Llc Columbus OH 12/2017 12/2019
Nationwide Insurance Cressona PA 11/2017 12/2019
Lpl Financial, Llc Cressona PA 01/2020 06/2025
Cetera Advisors Llc St Cloud MN 06/2025 Present
Cetera Investment Advisers Llc Schaumburg IL 06/2025 Present
Haven Financial Services Llc Schuylkill Haven PA 06/2025 Present
  • 07/1997 → 11/2017
    M&T Bank
    Pottsville, PA
  • 06/2002 → 11/2017
    M&T Securities
    Pottsville, PA
  • 12/2017 → 12/2019
    Columbus, OH
  • 11/2017 → 12/2019
    Nationwide Insurance
    Cressona, PA
  • 01/2020 → 06/2025
    Cressona, PA
  • 06/2025 → Present
    Cetera Advisors Llc
    St Cloud, MN
  • 06/2025 → Present
    Schaumburg, IL
  • 06/2025 → Present
    Haven Financial Services Llc
    Schuylkill Haven, PA
Previous Registrations
Other Businesses

1. NAME OF OTHER BUSINESS: HAVEN FINANCIAL SERVICES LLC; INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 6/2025, POSITION/TITLE/RELATIONSHIP: OWNER, 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 OTHER BUSINESS: AARP; INVESTMENT RELATED: NO; ADDRESS: 23 MEADOW BROOK DR, SCHUYLKILL HAVEN, PA 17972; NATURE OF BUSINESS: VOLUNTEERING; START DATE: 2/2026; POSITION/TITLE/RELATIONSHIP: SITE COORDINATOR AND PREPARER FOR TAX PROGRAM; APX NUMBER OF HOURS PER WEEK: 9; APX NUMBER OF HOURS DURING TRADING HOURS: 9; BRIEF DESCRIPTION OF DUTIES: VOLUNTEER SITE COORDINATOR AND TAX PREPARER FOR TAX RETURNS FOR INDIVIDUALS ELIGIBLE FOR AARP;

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2018-05-24
S63 Uniform Securities Agent State Law Examination 2002-11-11
  • S65 Uniform Investment Adviser Law Examination
    2018-05-24
  • S63 Uniform Securities Agent State Law Examination
    2002-11-11
Designations

View on SEC IAPD

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