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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
  • CA RA
    APPROVED
    Since 2023-06-29

Branch Locations

2301 Rosecrans Ave #5100, El Segundo, CA 90245 • 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
Garrett J Bleakley San Diego CA 03/2014 04/2018
Northwestern Mutual Investment Services, Llc San Diego CA 03/2014 12/2018
Northwestern Mutual Wealth Management Company Milwaukee WI 01/2016 12/2018
Warren Duthie San Diego CA 12/2016 12/2018
T Scott Dudley San Diego CA 12/2016 12/2018
David W Mc Quade San Diego CA 12/2016 12/2018
John O Todd San Diego CA 12/2016 12/2018
Thomas Matthew Smith San Diego CA 12/2016 12/2018
Jared M Oberland San Diego CA 12/2016 12/2018
Andrew Brian Cook San Diego CA 12/2016 12/2018
Cetera Wealth Services, Llc El Segundo CA 12/2018 Present
Cetera Advisors Llc Denver CO 12/2018 Present
Cetera Financial Specialists Llc Schaumburg IL 12/2018 Present
Cetera Investment Services Llc Saint Cloud MN 12/2018 Present
Summit Brokerage Services, Inc. Boca Raton FL 12/2018 Present
First Allied Securities, Inc. (Fasi) San Diego CA 12/2018 09/2022
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
  • 03/2014 → 04/2018
    Garrett J Bleakley
    San Diego, CA
  • 03/2014 → 12/2018
    San Diego, CA
  • 01/2016 → 12/2018
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
  • 12/2016 → 12/2018
    Warren Duthie
    San Diego, CA
  • 12/2016 → 12/2018
    T Scott Dudley
    San Diego, CA
  • 12/2016 → 12/2018
    David W Mc Quade
    San Diego, CA
  • 12/2016 → 12/2018
    John O Todd
    San Diego, CA
  • 12/2016 → 12/2018
    Thomas Matthew Smith
    San Diego, CA
  • 12/2016 → 12/2018
    Jared M Oberland
    San Diego, CA
  • 12/2016 → 12/2018
    Andrew Brian Cook
    San Diego, CA
  • 12/2018 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 12/2018 → Present
    Cetera Advisors Llc
    Denver, CO
  • 12/2018 → Present
    Cetera Financial Specialists Llc
    Schaumburg, IL
  • 12/2018 → Present
    Cetera Investment Services Llc
    Saint Cloud, MN
  • 12/2018 → Present
    Summit Brokerage Services, Inc.
    Boca Raton, FL
  • 12/2018 → 09/2022
    First Allied Securities, Inc. (Fasi)
    San Diego, CA
  • 06/2023 → Present
    Schaumburg, IL
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-12-04
  • S66 Uniform Combined State Law Examination
    2007-12-04
Other Names
  • Noel Buenaventura Asuncion
  • Emmanuel Buenaventura Asuncion

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