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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
GA RA APPROVED 2016-03-25
  • GA RA
    APPROVED
    Since 2016-03-25

Branch Locations

400 Turner Mccall Blvd, Rome, GA 30165 • 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 No
  • Termination Yes
Employment History
OrganizationCityStateFromTo
Regions Bank Cedartown GA 09/2011 Present
Cetera Investment Services Llc St.CLoud MN 02/2016 Present
Cetera Investment Advisers Llc Cedartown GA 03/2016 Present
  • 09/2011 → Present
    Regions Bank
    Cedartown, GA
  • 02/2016 → Present
    Cetera Investment Services Llc
    St.CLoud, MN
  • 03/2016 → Present
    Cedartown, GA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-03-16
S63 Uniform Securities Agent State Law Examination 2008-05-15
  • S66 Uniform Combined State Law Examination
    2016-03-16
  • S63 Uniform Securities Agent State Law Examination
    2008-05-15

View on SEC IAPD

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