Best Investors Account Sign in
Current Employers
Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

AuthorityCategoryStatusDate
WA RA APPROVED 2024-03-21
  • WA RA
    APPROVED
    Since 2024-03-21

Branch Locations

420 N Evergreen Rd Suite 500, Spokane Valley, WA 99216 • 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
Metlife Securities Inc. Spokane WA 05/2007 03/2017
Massachusetts Mutual Life Insurance Company Springfield MA 07/2016 05/2022
Mml Investors Services, Llc Spokane WA 03/2017 05/2022
Cetera Advisors Llc St Cloud MN 05/2022 Present
Cetera Investment Advisers Llc Schaumburg IL 03/2024 Present
  • 05/2007 → 03/2017
    Metlife Securities Inc.
    Spokane, WA
  • 07/2016 → 05/2022
    Massachusetts Mutual Life Insurance Company
    Springfield, MA
  • 03/2017 → 05/2022
    Spokane, WA
  • 05/2022 → Present
    Cetera Advisors Llc
    St Cloud, MN
  • 03/2024 → Present
    Schaumburg, IL
Previous Registrations
Other Businesses

1. NAME OF OTHER BUSINESS: CORE FINANCIAL GROUP INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 05/2022, 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; 2. NAME OF OTHER BUSINESS: N/A, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL PLANNING SERVICES, START DATE: 12/2022, POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 10, APX NUMBER OF HOURS DURING TRADING HOURS: 10, BRIEF DESCRIPTION OF DUTIES: CREATE REPORTS FOR CETERA FINANCIAL PLANNERS TO REVIEW WITH CLIENTS;

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2019-09-26
S63 Uniform Securities Agent State Law Examination 2007-07-07
  • S65 Uniform Investment Adviser Law Examination
    2019-09-26
  • S63 Uniform Securities Agent State Law Examination
    2007-07-07

View on SEC IAPD

Other Firms

Other Investors

Other Offices

More in Spokane Valley, WA

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor