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

Branch Locations

Gig Harbor, WA • United States

4423 Point Fosdick Dr. Suite #208-4, Gig Harbor, WA 98335 • 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 Bremerton WA 12/2012 12/2022
Cetera Wealth Services, Llc El Segundo CA 12/2022 Present
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
Previous Registrations
  • 2013-01-04 → 2022-12-19
    Bremerton, WA
    Silverdale, WA
    Bremerton, WA
    Bremerton, WA
    Bremerton, WA
    Poulsbo, WA
    Gig Harbor, WA
    Keyport, WA
    Gig Harbor, WA
    Silverdale, WA
    Belfair, WA
    Silverdale, WA
    Bainbridge Island, WA
    Silverdale, WA
    Kingston, WA
    Port Hadlock-Irondale, WA
    Port Townsend, WA
    Silverdale, WA
    Port Orchard, WA
    Silverdale, WA
    Silverdale, WA
Other Businesses

1. NAME OF OTHER BUSINESS: WESTSTAR PROSPERITY PARTNERS; INVESTMENT RELATED: YES ADDRESS: SAME AS SECURITIES / REGISTERED BUSINESS ADDRESS; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 12/2022; POSITION/TITLE/RELATIONSHIP: CFP / FINANCIAL PROFESSIONAL; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 20; BRIEF DESCRIPTION OF DUTIES: FINANCIAL PLANNING AND INVESTING SERVICES FOR CLIENTS; 2. NAME OF OTHER BUSINESS: PAUL NELSON LLC; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: DBA FOR TAX PURPOSES; START DATE: 12/2022; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: DBA FOR TAX PURPOSES, TO TRACK REVENUE AND EXPENSES, RECORD MEETING MINUTES; 3. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 02/2013; APX NUMBER OF HOURS PER WEEK: 6; APX NUMBER OF HOURS DURING TRADING HOURS: 1; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT- BRIEF DESCRIPTION OF DUTIES: SALE LIFE, HEALTH, DISABILITY, ANNUITIES AND LONG-TERM CARE;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2012-06-19
  • S66 Uniform Combined State Law Examination
    2012-06-19
Designations

View on SEC IAPD

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