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

Branch Locations

12555 High Bluff Drive Suite 305, San Diego, CA 92130 • 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
Independent Financial Group San Diego CA 08/2016 05/2022
Cetera Wealth Services, Llc El Segundo CA 05/2022 Present
Lincoln Capital, Inc San Diego CA 01/2007 Present
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
  • 08/2016 → 05/2022
    Independent Financial Group
    San Diego, CA
  • 05/2022 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 01/2007 → Present
    Lincoln Capital, Inc
    San Diego, CA
  • 06/2023 → Present
    Schaumburg, IL
Previous Registrations
Other Businesses

1. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 5/2015 APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 0 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE 2. NAME OF OTHER BUSINESS: LINCOLN CAPITAL, INC INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 01/2007 POSITION/TITLE/RELATIONSHIP: EMPLOYEE APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: OFFERING FINANCIAL SERVICES AND ADVISORY SERVICES. 3. NAME OF OTHER BUSINESS: FOUNDATION FOR PERSONAL FINANCIAL EDUCATION INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: PROVIDING FINANCIAL COUNSELING TO INDIVIDUALS. START DATE: 01/2015 POSITION/TITLE/RELATIONSHIP: VOLUNTEER APX NUMBER OF HOURS PER WEEK: 2 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: PROVIDE ONE ON ONE FINANCIAL EDUCATION CONSULTING

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2013-03-18
  • S66 Uniform Combined State Law Examination
    2013-03-18

View on SEC IAPD

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