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

Branch Locations

100 Filbert St, Hanover, PA 17331 • 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
T. Rowe Price Investment Services Owings Mills MD 04/2007 01/2019
Summit Brokerage Services Inc Boca Raton FL 01/2019 09/2019
Cetera Wealth Services, Llc El Segundo CA 09/2019 Present
Summit Financial Group Hanover PA 04/2019 05/2021
Hcm Wealth Advisory Group, Llc Hanover PA 01/2022 10/2023
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
  • 04/2007 → 01/2019
    T. Rowe Price Investment Services
    Owings Mills, MD
  • 01/2019 → 09/2019
    Summit Brokerage Services Inc
    Boca Raton, FL
  • 09/2019 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 04/2019 → 05/2021
    Summit Financial Group
    Hanover, PA
  • 01/2022 → 10/2023
    Hcm Wealth Advisory Group, Llc
    Hanover, PA
  • 06/2023 → Present
    Schaumburg, IL
Previous Registrations
  • 2019-04-17 → 2021-05-20
    Summit Financial Group Inc
    Hanover, PA
Other Businesses

(1) NAME OF OTHER BUSINESS: WEST MANHEIM ELEMENTARY FOOTBALL ASSOCIATION; INVESTMENT RELATED: NO; ADDRESS: 1418 BALTIMORE STREET SUITE 12-234 HANOVER, PA 17331; NATURE OF BUSINESS: NON PROFIT ; START DATE: 8/2022; POSITION/TITLE/RELATIONSHIP: VICE-PRESIDENT/TREASURER ; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: WILL VOTE ON ISSUES FOR THE OPERATION OF THE YOUTH PROGRAM, TRACK DEPOSITS AND WITHDRAWALS ON CHECKING ACCOUNT; (2) NAME OF OTHER BUSINESS: RIGGLE WEALTH GROUP, LLC; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 10/2023; 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 2019-04-11
S63 Uniform Securities Agent State Law Examination 2005-04-05
  • S66 Uniform Combined State Law Examination
    2019-04-11
  • S63 Uniform Securities Agent State Law Examination
    2005-04-05

View on SEC IAPD

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