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

Branch Locations

2301 Rosecrans Ave #5100, El Segundo, CA 90245 • United States

1929 Manning Ave Apt 302, Los Angeles, CA 90025 • 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
Cetera Wealth Services, Llc El Segundo CA 08/2015 Present
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
Other Businesses

1. NAME OF OTHER BUSINESS: JEFFERSON SCHOLARS FOUNDATION INVESTMENT RELATED: NO ADDRESS: NO 112 CLARK STREET CHARLOTTESVILLE VA 22903 NATURE OF BUSINESS: SCHOLARSHIP PROGRAM START DATE: 05/2013 APX NUMBER OF HOURS PER WEEK: ONE HOUR A MONTH APX NUMBER OF HOURS DURING TRADING HOURS: MINIMAL BRIEF DESCRIPTION OF DUTIES: ALUMNI ADVISORY BOARD MEMBER 2. NAME OF OTHER BUSINESS: CFP BOARD CENTER FOR FINANCIAL PLANNING INVESTMENT RELATED: NO ADDRESS: 1425 K STREET, NW #800, WASHINGTON, DC 20005 NATURE OF BUSINESS: FINANCIAL PLANNING INITIATIVES START DATE: 12/2015 POSITION/TITLE/RELATIONSHIP: VOLUNTEER APX NUMBER OF HOURS PER WEEK: VARIES APX NUMBER OF HOURS DURING TRADING HOURS: VARIES BRIEF DESCRIPTION OF DUTIES: RESEARCH, FORUMS, TO GET YOUNG PEOPLE AND DIVERSITY INTO PLANNING PROFESSION. 3. NAME OF OTHER BUSINESS: CERTIFIED FINANCIAL PLANNER BOARD OF STANDARDS; INVESTMENT RELATED: YES; ADDRESS: 1425 K STREET NW #800, WASHINGTON, DC 20005; NATURE OF BUSINESS: CFP HEARING PANEL; START DATE: 8/26/2016; POSITION/TITLE/RELATIONSHIP: HEARING PANELIST; APX NUMBER OF HOURS PER WEEK: VARIES; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES; BRIEF DESCRIPTION OF DUTIES: SERVE ON PANEL TO DETERMINE IF A CFP HAS COMMITTED WRONGDOINGS OR VIOLATED RULES. 4. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES ; INVESTMENT RELATED: NO ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: FIXED INSURANCE ; START DATE: 9/2019 ; APX NUMBER OF HOURS PER WEEK: LESS THAN 1 ; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1 ; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS DISABILITY INSURANCE ;

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2000-02-29
S65 Uniform Investment Adviser Law Examination 2000-02-15
  • S63 Uniform Securities Agent State Law Examination
    2000-02-29
  • S65 Uniform Investment Adviser Law Examination
    2000-02-15
Designations
Other Names
  • Randy Miller
  • Randall Todd Miller

View on SEC IAPD

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