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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 2024-02-06
  • FL RA
    APPROVED
    Since 2024-02-06

Branch Locations

6767 N Wickham Road Suite 400Ff, Melbourne, FL 32940 • 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 No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Metlife Securities Inc. Melbourne FL 11/2002 03/2017
Mml Investors Services, Llc Melbourne FL 03/2017 11/2021
Massmutual Life Insurance Company Melbourne FL 07/2016 11/2021
Cetera Advisors Llc St. Cloud MN 11/2021 Present
Cetera Investment Advisers Llc Shaumburg IL 01/2024 Present
  • 11/2002 → 03/2017
    Metlife Securities Inc.
    Melbourne, FL
  • 03/2017 → 11/2021
    Melbourne, FL
  • 07/2016 → 11/2021
    Massmutual Life Insurance Company
    Melbourne, FL
  • 11/2021 → Present
    Cetera Advisors Llc
    St. Cloud, MN
  • 01/2024 → Present
    Shaumburg, IL
Previous Registrations
  • 2017-03-25 → 2021-11-16
    Melbourne, FL
  • 2009-04-30 → 2017-03-25
    Msi Financial Services, Inc.
    Melbourne, FL
    Melbourne, FL
    Melbourne, FL
Other Businesses

1) 1)NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 1/2022 APX NUMBER OF HOURS PER WEEK: 8; APX NUMBER OF HOURS DURING TRADING HOURS: 8; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, DISABILITY, FIXED ANNUITIES AND LONG-TERM CARE; 2) NAME OF OTHER BUSINESS: TOTUS WEALTH MANAGEMENT INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 09/2021, POSITION/TITLE/RELATIONSHIP: 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 3) NAME OF OTHER BUSINESS: SUNTREE FINANCIAL SERVICES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 1/2022; POSITION/TITLE/RELATIONSHIP: OWNER / FINANCIAL PROFESSIONAL ; APX NUMBER OF HOURS PER WEEK: 40-50 ; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 ; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES ;

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2019-11-11
S65 Uniform Investment Adviser Law Examination 2008-07-31
  • S63 Uniform Securities Agent State Law Examination
    2019-11-11
  • S65 Uniform Investment Adviser Law Examination
    2008-07-31
Other Names
  • Thomas Wilson

View on SEC IAPD

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