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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
TX RA APPROVED_RES 2023-01-24
CA RA APPROVED 2021-12-20
  • TX RA
    APPROVED_RES
    Since 2023-01-24
  • CA RA
    APPROVED
    Since 2021-12-20

Branch Locations

155 North Lake Avenue Suite 430, Pasadena, CA 91101 • 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 Los Angeles CA 10/2015 03/2017
Massmutual Life Insurance Co Los Angeles CA 07/2016 12/2021
Mml Investors Services, Llc Los Angeles CA 03/2017 12/2021
Cetera Investment Services Llc St Cloud MN 12/2021 Present
Cetera Investment Advisers Llc Monrovia CA 12/2021 Present
  • 10/2015 → 03/2017
    Metlife Securities Inc
    Los Angeles, CA
  • 07/2016 → 12/2021
    Massmutual Life Insurance Co
    Los Angeles, CA
  • 03/2017 → 12/2021
    Los Angeles, CA
  • 12/2021 → Present
    Cetera Investment Services Llc
    St Cloud, MN
  • 12/2021 → Present
    Monrovia, CA
Previous Registrations
Other Businesses

1)BOARD MEMBER FOR LOS ANGELES CHAPTER OF ASIAN REAL ESTATE ASSOCATION OF AMERICA; PROMOTING SUSTAINABLE HOMEOWNERSHIP OPPORTUNITIES FOR ASIAN AMERICAN COMMUNITIES, 1 HR/WK; 2)SILENT PARTNER OF FISHWIVES, A RESTAURANT 3)OWNER OF PETERSON OAK CAPITAL; PERSONAL INVESTMENT AND RENTAL PROPERTY

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2011-03-11
  • S66 Uniform Combined State Law Examination
    2011-03-11

View on SEC IAPD

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