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

Branch Locations

Sunset Beach, NC • 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
Rutgers University Newark NJ 09/2016 Present
Franklin Township Franklin NJ 09/2006 09/2016
Cetera Wealth Services, Llc El Segundo CA 01/2013 Present
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
Coastal Carolina University Conway SC 08/2023 Present
Unc Wilmington Wilmington NC 08/2024 Present
  • 09/2016 → Present
    Rutgers University
    Newark, NJ
  • 09/2006 → 09/2016
    Franklin Township
    Franklin, NJ
  • 01/2013 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 06/2023 → Present
    Schaumburg, IL
  • 08/2023 → Present
    Coastal Carolina University
    Conway, SC
  • 08/2024 → Present
    Unc Wilmington
    Wilmington, NC
Previous Registrations
  • 2004-10-28 → 2006-08-31
    A. G. Edwards & Sons, Inc.
    Warren, NJ
    Warren, NJ
Other Businesses

1.NAME OF OTHER BUSINESS: RUTGERS UNIVERSITY INVESTMENT RELATED: NO ADDRESS: 1 WASHINGTON PARK NEWARK NJ 07102 NATURE OF BUSINESS: UNIVERSITY START DATE: 9/2016 APX NUMBER OF HOURS PER WEEK: 30 APX NUMBER OF HOURS DURING TRADING HOURS: 30 POSITION/TITLE/RELATIONSHIP: ASSISTANT PROFESSOR OF PROFESSIONAL PRACTICE BRIEF DESCRIPTION OF DUTIES: TEACHING VARIOUS FINANCE CLASSES; 2. NAME OF OTHER BUSINESS: COASTAL CAROLINA UNIVERSITY; INVESTMENT RELATED: NO; ADDRESS: 100 CHANTICLEER DR E, CONWAY, SC 29528; NATURE OF BUSINESS: UNIVERSITY; START DATE: 8/2023; POSITION/TITLE/RELATIONSHIP: LECTURER; APX NUMBER OF HOURS PER WEEK: 3; APX NUMBER OF HOURS DURING TRADING HOURS: 3; BRIEF DESCRIPTION OF DUTIES: TEACHING INTRODUCTION FINANCE COURSES; 3.NAME OF OTHER BUSINESS: UNC WILMINGTON INVESTMENT RELATED: NO; ADDRESS: 6-1 S COLLEGE ROAD WILMINGTON, NC 28403; NATURE OF BUSINESS: TEACHING; START DATE: 08/2024; POSITION/TITLE/RELATIONSHIP ADJUNCT PROFESSOR; APX NUMBER OF HOURS PER WEEK: 3; APX NUMBER OF HOURS DURING TRADING HOURS: 3; BRIEF DESCRIPTION OF DUTIES: TEACHING A FINANCE COURSE;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-10-26
  • S66 Uniform Combined State Law Examination
    2004-10-26
Designations

View on SEC IAPD

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