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

Branch Locations

6100 Uptown Blvd Ne Ste 500, Albuquerque, NM 87110 • 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
Loving Thunder Therapeutic Horse Riding Rio Rancho NM 03/2015 11/2025
Cetera Wealth Services, Llc El Segundo CA 07/2016 Present
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
Roybal Financial Network Llc Albuquerque NM 08/2025 Present
  • 03/2015 → 11/2025
    Loving Thunder Therapeutic Horse Riding
    Rio Rancho, NM
  • 07/2016 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 06/2023 → Present
    Schaumburg, IL
  • 08/2025 → Present
    Roybal Financial Network Llc
    Albuquerque, NM
Previous Registrations
  • 2016-03-31 → 2016-07-01
    Pnc Managed Account Solutions, Inc.
    Albuquerque, NM
  • 2015-01-07 → 2016-03-23
    Cetera Wealth Services, Llc
    Albuquerque, NM
    Albuquerque, NM
Other Businesses

1. NAME OF OTHER BUSINESS: CHILDRENS CHOICE; INVESTMENT RELATED: NO; ADDRESS: 10601 LOMAS BLVD NE #101, ALBUQUERQUE, NM 87112; NATURE OF BUSINESS: CHILD CARE AND DEVELOPMENT; START DATE: 03/2018; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: PARTICIPATE IN OVERSIGHT AND DECISIONS PUT BEFORE THE BOARD; 2.NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 03/2018 APX NUMBER OF HOURS PER WEEK: VARIES APX NUMBER OF HOURS DURING TRADING HOURS: VARIES POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, ANNUITIES AND LONG TERM CARE 3. NAME OF OTHER BUSINESS: FANNING FINANCIAL, LLC INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 03/2018 POSITION/TITLE/RELATIONSHIP: REGISTERED REPRESENTITIVE APX NUMBER OF HOURS PER WEEK: 4 APX NUMBER OF HOURS DURING TRADING HOURS: 4 BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES 4. NAME OF OTHER BUSINESS: INEZ ELEMENTARY COMMUNITY SCHOOL COUNCIL; INVESTMENT RELATED: NO; ADDRESS: 1700 PENNSYLVANIA ST NE, ALBUQUERQUE, NM 87110; NATURE OF BUSINESS: SCHOOL COUNCIL; START DATE: 7/2024; POSITION/TITLE/RELATIONSHIP: COUNCIL MEMBER; APX NUMBER OF HOURS PER WEEK: 0.5; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: DISCUSS WAYS TO IMPROVE INEZ ELEMENTARY AND OFFER SCHOLARSHIP OPPORTUNITIES; 5. NAME OF OTHER BUSINESS: ROYBAL FINANCIAL NETWORK LLC; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: EXPENSE MANAGEMENT; START DATE: 8/2025; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 0; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: LLC IS FOR TAX PURPOSES AND LEGAL PROTECTION;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-12-05
  • S66 Uniform Combined State Law Examination
    2014-12-05

View on SEC IAPD

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