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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
ME RA APPROVED 2018-01-02
  • ME RA
    APPROVED
    Since 2018-01-02

Branch Locations

41 Townsend Ave, Boothbay Harbor, ME 04538 • United States

Wiscasset, ME • 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
Invest Financial Corp Tampa FL 11/2011 12/2017
First Federal Savings & Loan Association Of Bath Boothbay Harbor ME 11/2011 Present
Cetera Investment Services Llc St.CLoud MN 01/2018 Present
Cetera Investment Advisers Boothbay Harbor ME 01/2018 Present
  • 11/2011 → 12/2017
    Invest Financial Corp
    Tampa, FL
  • 11/2011 → Present
    First Federal Savings & Loan Association Of Bath
    Boothbay Harbor, ME
  • 01/2018 → Present
    Cetera Investment Services Llc
    St.CLoud, MN
  • 01/2018 → Present
    Cetera Investment Advisers
    Boothbay Harbor, ME
Previous Registrations
  • 2011-11-18 → 2017-12-31
    Invest Financial Corporation
    Wiscasset, ME
    Damariscotta, ME
    Bath, ME
    Keene, NH
    Boothbay Harbor, ME
  • 2007-11-29 → 2011-11-08
    Sorrento Pacific Financial, Llc
    Memphis, TN
    Newcastle, ME
Other Businesses

1) BRANCH MANAGER ALONG WITH CONSUMER AND MORTGAGE LENDING THROUGH FIRST FEDERAL SAVINGS & LOAN - 5HRS WK- 2) NOTARY PUBLIC - ACT AS NOTARY AT BANK FOR BANK DOCUMENTS ONLY - NEVER AUTHORIZED TO NOTARIZE CETERA DOCUMENTS 1HR WK 3) POWER OF ATTORNEY FOR SPOUSE MICHAEL S. HUBER AND MOTHER-IN-LAW SALLY A. HUBER -ACT AS POA IF NECESSARY <1HR WK. 5) BALLOT CLERK AT NOVEMBER ELECTION 8 HRS 2-3 TIMES YEAR, MONITORING VOTERS AND ASSIST WITH PROCESSING BALLOTS. 6) SALE OF QUILT ITEMS; 3 HRS/WK 7) OUTSIDE INSURANCE THROUGH FIRST FEDERAL SAVINGS & LOAN AND JBC 8) PERSONAL REPRESENTAIVE FOR THE ESTATE OF DIANNE LABRECK, SISTER

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2010-01-21
S65 Uniform Investment Adviser Law Examination 2007-10-09
  • S63 Uniform Securities Agent State Law Examination
    2010-01-21
  • S65 Uniform Investment Adviser Law Examination
    2007-10-09
Other Names
  • Jean Elaine Cheney

View on SEC IAPD

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