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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
CT RA APPROVED 2023-03-06
TX RA APPROVED 2023-02-24
  • CT RA
    APPROVED
    Since 2023-03-06
  • TX RA
    APPROVED
    Since 2023-02-24

Branch Locations

15 N Main St Ste 101, West Hartford, CT 06107 • United States

The Patriot Financial Group, Llc

55 West Street Suite 201, Walpole, MA 02081 • United States

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2018-10-24
  • CT RA
    APPROVED
    Since 2018-10-24

Branch Locations

15 North Main Street Suite 101, West Hartford, CT 06107 • United States

55 West Street Suite 201, Walpole, MA 02081 • 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
Massmutual Life Insurance Company West Hartford CT 04/2013 10/2018
Mml Investors Services, Llc West Hartford CT 05/2013 10/2018
Securities America, Inc. West Hartford CT 10/2018 12/2022
The Patriot Financial Group, Llc West Hartford CT 10/2018 Present
Cetera Financial Specialists Llc Schaumburg IL 12/2022 Present
Riverside Retirement Advisors, Llc West Hartford CT 10/2018 Present
Cetera Investment Advisers Llc Schaumburg IL 01/2023 Present
  • 04/2013 → 10/2018
    Massmutual Life Insurance Company
    West Hartford, CT
  • 05/2013 → 10/2018
    West Hartford, CT
  • 10/2018 → 12/2022
    Securities America, Inc.
    West Hartford, CT
  • 10/2018 → Present
    West Hartford, CT
  • 12/2022 → Present
    Cetera Financial Specialists Llc
    Schaumburg, IL
  • 10/2018 → Present
    Riverside Retirement Advisors, Llc
    West Hartford, CT
  • 01/2023 → Present
    Schaumburg, IL
Previous Registrations
Other Businesses

1.WEST HARTFORD YOUTH BASEBALL, NOT INVESTMENT RELATED, WEST HARTFORD, CT, PRESIDENT, OVERSEE THE LEAGUE, 10H/WEEK, SINCE 01/2022. 2.COMMUNITY HEALTH RESOURCES, NOT INVESTMENT RELATED, WINDSOR, CT, BOARD CHAIR, CHAIRMAN OF THE BOARD, 2H/WEEK, SINCE 07/2022 3.THE PATRIOT FINANCIAL GROUP, LLC, INVESTMENT RELATED, ADDRESS SAME AS REGISTERED BRANCH, SEC REGISTERED INVESTMENT ADVISER, INVESTMENT ADVISER REPRESENTATIVE, ADVISORY BUSINESS, 40H/WEEK, SINCE 10/2018 4.RIVERSIDE RETIREMENT ADVISORS, LLC, INVESTMENT RELATED, ADDRESS SAME AS REGISTERED BRANCH, OWNER, FOUNDING PARTNER, ADVISORY BUSINESS, 10/2018 5. NAME OF OTHER BUSINESS: N/A; INVESTMENT RELATED: NO; ADDRESS: 233 SHADY TREE LN, FAYSTON, VT 05673; NATURE OF BUSINESS: RENTAL PROPERTY; START DATE: 2/2023; POSITION/TITLE/RELATIONSHIP: HOME OWNER; APX NUMBER OF HOURS PER WEEK: <1; APX NUMBER OF HOURS DURING TRADING HOURS: <1; BRIEF DESCRIPTION OF DUTIES: RENT VACATION PROPERTY PART TIME;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2003-05-21
  • S66 Uniform Combined State Law Examination
    2003-05-21
Designations
Other Names
  • Cy Hess

View on SEC IAPD

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