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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
NC RA APPROVED 2026-05-12
TN RA APPROVED 2023-06-29
TX RA APPROVED_RES 2023-06-29
  • NC RA
    APPROVED
    Since 2026-05-12
  • TN RA
    APPROVED
    Since 2023-06-29
  • TX RA
    APPROVED_RES
    Since 2023-06-29

Branch Locations

Mint Hill, NC • United States

8 Mason Road, Three Way, TN 38343 • 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
Steve And Brad Little Jackson TN 03/2012 08/2020
Voya Financial Advisors Jackson TN 09/2014 06/2021
Cetera Wealth Services, Llc El Segundo CA 06/2021 Present
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
  • 03/2012 → 08/2020
    Steve And Brad Little
    Jackson, TN
  • 09/2014 → 06/2021
    Voya Financial Advisors
    Jackson, TN
  • 06/2021 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 06/2023 → Present
    Schaumburg, IL
Previous Registrations
Other Businesses

1. NAME OF ENTITY: independent insurance agent; Yes; 24 OLD HICKORY COVE; JACKSON; TN; 38305; Fixed Insurance Sales; Independent Insurance Agent; 8/20/2007; 32; 32; Sales of Fixed Insurance Products| 2. NAME OF OTHER BUSINESS: 401KYLE.COM; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES DBA; START DATE: 06/2021; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: FINANCIAL SERVICES;

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2008-02-28
S63 Uniform Securities Agent State Law Examination 2007-10-02
  • S65 Uniform Investment Adviser Law Examination
    2008-02-28
  • S63 Uniform Securities Agent State Law Examination
    2007-10-02

View on SEC IAPD

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