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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 2025-12-09
PA RA APPROVED 2023-06-29
  • CT RA
    APPROVED
    Since 2025-12-09
  • PA RA
    APPROVED
    Since 2023-06-29

Branch Locations

Mystic, CT • United States

Yardley, 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
Voya Financial Advisors Yardley PA 09/2014 06/2021
Cetera Wealth Services, Llc El Segundo CA 06/2021 Present
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
  • 09/2014 → 06/2021
    Voya Financial Advisors
    Yardley, PA
  • 06/2021 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 06/2023 → Present
    Schaumburg, IL
Previous Registrations
Other Businesses

NAME OF ENTITY: independent insurance agent; Yes; 13 ARBORLEA AVE; YARDLEY; PA; 19067; fixed insurance sales; independent insurance agent; 6/9/2009; 160; 160; sales of fixed insurance products|

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2003-12-04
  • S66 Uniform Combined State Law Examination
    2003-12-04

View on SEC IAPD

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