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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
PA RA APPROVED 2023-06-29
  • PA RA
    APPROVED
    Since 2023-06-29

Branch Locations

4949 Liberty Lane Suite 120, Allentown, PA 18106 • United States

881 3Rd St, Whitehall, PA 18052 • United States

Macungie, PA • 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
Axa Advisors, Llc New York NY 02/2003 06/2020
Equitable Advisors, Llc New York NY 02/2003 08/2020
Voya Financial Advisors, Inc. Whitehall PA 08/2020 06/2021
Cetera Wealth Services, Llc El Segundo CA 06/2021 Present
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
Pembroke Wealth Bensalem PA 12/2025 Present
Previous Registrations
Other Businesses

1. NAME OF ENTITY: INDEPENDENT INSURANCE AGENT; Yes; 881 3RD ST; WHITEHALL; PA; 18052; Fixed Insurance Sales; INDEPENDENT INSURANCE AGENT; 8/20/2020; 160; 160; Sales of Fixed Insurance Products; 2. NAME OF ENTITY: WealthWorks Financial; Yes; 881 Third St, Suite A-7; Whitehall; PA; 18017; Financial Services/dba; Co-Founder; 12/4/2020; 160; 160; Sale and Service Insurance, Securities and Investment Products; 3. NAME OF OTHER BUSINESS: LIFE SETTLEMENT BUSINESS; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: LIFE SETTLEMENT; START DATE: 12/2022; APX NUMBER OF HOURS PER WEEK: VARIES; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SELLS LIFE SETTLEMENTS THROUGH WELCOME FUNDS, INC; 4. NAME OF OTHER BUSINESS: WEALTHWORKS FINANCIAL; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: TAX PLANNING AND PREPARATION; START DATE: 04/2024; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: TAX PLANNING AND PREPARATION SERVICES; 5. NAME OF OTHER BUSINESS: BROOKSIDE COUNTRY CLUB OF ALLENTOWN BOARD MEMBER; INVESTMENT RELATED: NO; ADDRESS: 801 WILLOW LN, MACUNGIE, PA 18062; NATURE OF BUSINESS: BOARD; START DATE: 11/2024 POSITION/TITLE/RELATIONSHIP: BOARD MEMBER/ GOLF COMMITTEE CHAIR; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: VOTE ON CLUB ISSUES FOR THE CLUB AND RUN THE GOLF COMMITTEE; 6. NAME OF OTHER BUSINESS: WEALTHWORKS LLC; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: DBA FOR TAX PURPOSES; START DATE: 04/2024; POSITION/TITLE/RELATIONSHIP: PRINCIPAL; APX NUMBER OF HOURS PER WEEK: 0; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: DBA FOR TAX PURPOSES; 7. NAME OF OTHER BUSINESS: PEMBROKE WEALTH; INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 12/2025, 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;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2003-04-09
  • S66 Uniform Combined State Law Examination
    2003-04-09

View on SEC IAPD

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