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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
FL RA APPROVED 2024-03-25
TX RA APPROVED_RES 2024-03-21
  • FL RA
    APPROVED
    Since 2024-03-25
  • TX RA
    APPROVED_RES
    Since 2024-03-21

Branch Locations

6052 Turkey Lake Rd Ste 101, Orlando, FL 32819 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Cetera Advisors Llc Denver CO 01/2013 Present
Cetera Investment Advisers Llc Schaumburg IL 01/2024 Present
Cetera Investment Advisers Llc Orlando FL 03/2024 Present
Previous Registrations
  • 2009-12-02 → 2012-07-06
    Woodbury Financial Services, Inc.
    Winter Park, FL
    Orlando, FL
    Longwood, FL
  • 2004-07-07 → 2009-11-11
    Orlando, FL
    Orlando, FL
Other Businesses

(1) FIXED INSURANCE ; (2) REAL ESTATE, RENTAL PROPERTIES, MANAGE REAL ESTATE PROPERTIES, 12K PER/YR, 0 HR/WK, START 2005 ; (3) SUNRISE WEALTH ADVISORS, DBA NAME, FINANCIAL SERVICES FOUNDING PARTNER, SAME AS OFFICE ADDRESS, START 11/2009, 40-50 HR/WK, COMMISSIONS ; (4) NOTARY, NOT COMPENSATED, START 2010, SAME AS OFFICE ADDRESS, 0 HRS ; (5) DIS INVESTMENT MANAGEMENT, INC. NOT INVESTMENT RELATED, ADDRESS IS THE REGISTERED LOCATION, BUSINESS ENTITY FOR TAX PURPOSES, START JUNE 2014, NO TIME DEVOTED TO THIS ACTIVITY, OWNER ; (6) NAME OF OTHER BUSINESS: BABROONIE INVESTMENTS LLC DBA SANTINOS PIZZA N WINGS ; INVESTMENT RELATED: NO ; ADDRESS: 5420 DEEPLAKE RD, OVIEDO FL 32765 ; NATURE OF BUSINESS: RESTAURANT ; START DATE: 07/2021 ; POSITION/TITLE/RELATIONSHIP: OWNER ; APX NUMBER OF HOURS PER WEEK: 5-10 ; APX NUMBER OF HOURS DURING TRADING HOURS: 5-10 ; BRIEF DESCRIPTION OF DUTIES:RUNNING RESTAURANT WITH FAMILY ;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-07-02
  • S66 Uniform Combined State Law Examination
    2004-07-02

View on SEC IAPD

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