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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
NJ RA APPROVED 2024-03-21
NY RA APPROVED 2024-03-21
  • NJ RA
    APPROVED
    Since 2024-03-21
  • NY RA
    APPROVED
    Since 2024-03-21

Branch Locations

Staten Island, NY • United States

30 Broad Street Ste. 2, Red Bank, NJ 07701 • 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 03/2024 Present
Other Businesses

1. FIXED INSURANCE, LIFE/HEALTH/DISABILITY/ ANNUITIES/LONG-TERM CARE. 2. HUDSON WEALTH MANAGEMENT, 30 BROAD ST STE 2 RED BANK NJ 07701, DBA FOR FIXED INSURANCE SALES, CLIENT ACCOUNT MANAGEMENT/SERVICES, START 01/31/07, 11HR/WK. 3. NAME OF OTHER BUSINESS: NICHOLAS BENEVENTO; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: NOTARY PUBLIC; START DATE: 04/2016; POSITION/TITLE/RELATIONSHIP: NOTARY PUBLIC; APX NUMBER OF HOURS PER WEEK: LESS THAN 1 HOUR; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES; BRIEF DESCRIPTION OF DUTIES: NOTARY PUBLIC - AS NEEDED BASIS. 4. N/A, INVESTMENT RELATED, SAME AS REGISTERED LOCATION, TESTAMENTARY TRUSTS, STARTED 02/2021, TRUSTEE, NOT CURRENTLY ACTING, BRIEF DESCRIPTION OF DUTIES: NAMED TRUSTEE OF TESTAMENTARY TRUSTS FOR 2 CLIENT'S CHILDREN; 5. N/A, INVESTMENT RELATED, SAME AS REGISTERED LOCATION, TESTAMENTARY TRUSTS, STARTED 11/2021, TRUSTEE, NOT CURRENTLY ACTING, BRIEF DESCRIPTION OF DUTIES: NAMED TRUSTEE OF TESTAMENTARY TRUSTS FOR A CLIENT'S CHILDREN; 6. NAME OF OTHER BUSINESS: WALTER K. DOYLE FOUNDATION; INVESTMENT RELATED: NO; ADDRESS: 59 ELY COURT STATEN ISLAND, NY 10312; NATURE OF BUSINESS: NON PROFIT; START DATE: 09/2023; POSITION/TITLE/RELATIONSHIP: SECRETARY; APX NUMBER OF HOURS PER WEEK: 1-3; APX NUMBER OF HOURS DURING TRADING HOURS: 1-3; BRIEF DESCRIPTION OF DUTIES: HOLD MEETINGS, TAKE NOTES, DOCUMENT MEETINGS;

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2011-04-27
S63 Uniform Securities Agent State Law Examination 2000-10-13
  • S65 Uniform Investment Adviser Law Examination
    2011-04-27
  • S63 Uniform Securities Agent State Law Examination
    2000-10-13
Other Names
  • Nicholas Benevento

View on SEC IAPD

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