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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
TX RA APPROVED 2023-06-29
  • CA RA
    APPROVED
    Since 2023-06-29
  • TX RA
    APPROVED
    Since 2023-06-29

Branch Locations

16133 Ventura Blvd. Ste 700, Encino, CA 91436 • United States

Sunset Beach,, CA • 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
Lpl Financial Llc Encino CA 12/2013 12/2022
Cetera Wealth Services, Llc El Segundo CA 12/2022 Present
Compass Financial Advisors Encino CA 01/2014 Present
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
  • 12/2013 → 12/2022
    Encino, CA
  • 12/2022 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 01/2014 → Present
    Compass Financial Advisors
    Encino, CA
  • 06/2023 → Present
    Schaumburg, IL
Previous Registrations
  • 2022-05-09 → 2022-12-13
    Encino, CA
    Sherman Oaks, CA
    San Diego, CA
Other Businesses

1. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 2/2009 APX NUMBER OF HOURS PER WEEK: 2 APX NUMBER OF HOURS DURING TRADING HOURS: 2 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE AND HEALTH 2. NAME OF OTHER BUSINESS: FORTUNES FOOL INVESTMENT RELATED: NO ADDRESS: PORTER RANCH, CA 91326 NATURE OF BUSINESS: PASS-THROUGH ENTITY FOR TAX PURPOSES ONLY START DATE: 7/2000 POSITION/TITLE/RELATIONSHIP: SECRETARY APX NUMBER OF HOURS PER WEEK: 0 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: SECRETARY; 3. NAME OF OTHER BUSINESS: COMPASS FINANCIAL ADVISORS INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: DBA START DATE: 1/2014 POSITION/TITLE/RELATIONSHIP: PRINCIPAL APX NUMBER OF HOURS PER WEEK: 60 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: OWN THIS DBA WITH HUSBAND MARK; 4. NAME OF OTHER BUSINESS: CETERA WEALTH PARTNERS INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: SERVICING CLIENTS FINANCIAL NEEDS THROUGH ADVISORY AND INSURANCE START DATE: 12/2022 POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR APX NUMBER OF HOURS PER WEEK: 60 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: ADVISORY, INSURANCE; 5. NAME OF OTHER BUSINESS: THE LOS ANGELES MARYVALE GUILD; INVESTMENT RELATED: NO; ADDRESS: 3826 GRAND VIEW BLVD, SUITE 66636, LOS ANGELES, CA 90066; NATURE OF BUSINESS: BOARD; START DATE: 1/2026; POSITION/TITLE/RELATIONSHIP: PRESIDENT; APX NUMBER OF HOURS PER WEEK: 8; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: ATTEND BOARD MEETINGS;

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2022-05-04
S63 Uniform Securities Agent State Law Examination 2008-07-16
  • S65 Uniform Investment Adviser Law Examination
    2022-05-04
  • S63 Uniform Securities Agent State Law Examination
    2008-07-16
Other Names
  • Joni Deakins
  • Joan Maemarie Hunter

View on SEC IAPD

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