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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
NY RA APPROVED 2023-08-28
  • NY RA
    APPROVED
    Since 2023-08-28

Branch Locations

21 Bennetts Rd Suite 201, Setauket, NY 11733 • United States

Branch Financial Services, Inc.

21 Bennetts Road Suite 201, Setauket, NY 11733 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2023-08-17
  • NY RA
    APPROVED
    Since 2023-08-17

Branch Locations

21 Bennetts Road Suite 201, Setauket, NY 11733 • 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
Michael J. Brescia P.C. Setauket NY 05/2009 Present
Cetera Advisor Networks El Segundo CA 08/2020 11/2022
Branch Financial Services, Inc. Setauket NY 07/2021 10/2022
Branch Financial Services, Inc. Setauket NY 08/2023 Present
Ny State Attorney General'S Office-Trust And Estates Division New York NY 11/2022 08/2023
Cetera Wealth Services, Llc D/B/A Cetera Advisor Network El Segundo CA 08/2023 Present
Cetera Investment Advisers Llc Schaumburg IL 08/2023 Present
  • 05/2009 → Present
    Michael J. Brescia P.C.
    Setauket, NY
  • 08/2020 → 11/2022
    Cetera Advisor Networks
    El Segundo, CA
  • 07/2021 → 10/2022
    Setauket, NY
  • 08/2023 → Present
    Setauket, NY
  • 11/2022 → 08/2023
    Ny State Attorney General'S Office-Trust And Estates Division
    New York, NY
  • 08/2023 → Present
    Cetera Wealth Services, Llc D/B/A Cetera Advisor Network
    El Segundo, CA
  • 08/2023 → Present
    Schaumburg, IL
Previous Registrations
Other Businesses

1.NAME OF OTHER BUSINESS: BRANCH FINANCIAL SERVICES, INC. INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: SEC REGISTERED INVESTMENT ADVISORY FIRM POSITION/TITLE/RELATIONSHIP: INVESTMENT ADVISOR REPRESENTATIVE START DATE: 08/2023 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: INVESTMENT ADVISOR REPRESENTATIVE AND FINANCIAL PLANNER. 2. NAME OF OTHER BUSINESS: MICHAEL J. BRESCIA, P.C. INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: LEGAL START DATE: 05/2009 POSITION/TITLE/RELATIONSHIP: PRESIDENT APX NUMBER OF HOURS PER WEEK: 4 APX NUMBER OF HOURS DURING TRADING HOURS: NONE BRIEF DESCRIPTION OF DUTIES: ESTATE PLANNING; 3. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 8/2023; APX NUMBER OF HOURS PER WEEK: 0; APX NUMBER OF HOURS DURING TRADING HOURS: 0; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SELLS LIFE & FIXED ANNUITIES; 4. CETERA WEALTH SERVICES, LLC D/B/A CETERA ADVISOR NETWORK Investment Related Registered Location Broker Dealer Registered Representative 8/2023 APX # hours/mo: 0 APX # hours/mo/during training: 0 Holistic Investing 5. CETERA INVESTMENT ADVISERS LLC Investment Related Registered Location Investment Advisory Investment Advisor Representative 8/2023 APX # hours/mo : 0 APX # hours/mo/during trading: 0 Holistic Investing

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-06-18
  • S66 Uniform Combined State Law Examination
    2021-06-18

View on SEC IAPD

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