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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
NC RA APPROVED 2023-06-29
VA RA APPROVED 2023-06-29
  • NC RA
    APPROVED
    Since 2023-06-29
  • VA RA
    APPROVED
    Since 2023-06-29

Branch Locations

Banner Elk, NC • United States

1919 Gallows Road Ste 600, Vienna, VA 22182 • 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
Egan,Berger,And Weiner Vienna VA 09/2005 Present
Voya Financial Advisors Vienna VA 09/2014 06/2021
Cetera Wealth Services, Llc El Segundo CA 06/2021 Present
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
  • 09/2005 → Present
    Egan,Berger,And Weiner
    Vienna, VA
  • 09/2014 → 06/2021
    Voya Financial Advisors
    Vienna, VA
  • 06/2021 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 06/2023 → Present
    Schaumburg, IL
Previous Registrations
Other Businesses

1. NAME OF ENTITY:Egan, Berger & Weiner, LLC; Yes; 1919 GALLOWS RD STE 600; VIENNA; VA; 22182; Financial Services; Associate Financial Planner; 9/16/2005; 160; 160; operationally supports advisors, client services, runs financial plans; 2. NAME OF OTHER BUSINESS: SHULLS FARM PROPERTY OWNERS ASSOCIATION; INVESTMENT RELATED: NO; ADDRESS: SAME AS RESIDENTIAL LOCATION; NATURE OF BUSINESS: HOA; START DATE: 12/2023; POSITION/TITLE/RELATIONSHIP: VICE PRESIDENT; APX NUMBER OF HOURS PER WEEK: LESS THAN 1; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1; BRIEF DESCRIPTION OF DUTIES: MEET ONCE A YEAR, ASSIST IN KEEPING THE PRESIDENT ORGANIZED; 3. NAME OF OTHER BUSINESS: VALLE CRUCIS COMMUNITY PARK; INVESTMENT RELATED: NO; ADDRESS: 2892 BROADSTONE RD BANNER ELK, NC 28604 ; NATURE OF BUSINESS: NON PROFIT; START DATE: 12/2023; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: HELP KEEP THE PARK CLEAN, SAFE AND A WELCOMING PLACE FOR OUR COMMUNITY;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-01-13
  • S66 Uniform Combined State Law Examination
    2006-01-13
Designations
Other Names
  • Hope Hall
  • Susan Hope Hall

View on SEC IAPD

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