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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
NY RA APPROVED 2024-11-08
  • NY RA
    APPROVED
    Since 2024-11-08

Branch Locations

3625 Seneca Street, West Seneca, NY 14224 • 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
Lumsden & Mccormick Llp Buffalo NY 04/2012 06/2021
1St Global Capital Corp Buffalo NY 05/2012 10/2019
Avantax Insurance Services, Inc. Buffalo NY 09/2017 04/2021
Avantax Investment Services, Inc. Buffalo NY 10/2019 04/2021
Ameriprise Financial Services Llc Vestal NY 06/2021 11/2024
Cetera Wealth Services, Llc El Segundo CA 11/2024 Present
Cetera Investment Advisers Llc Schaumburg IL 11/2024 Present
  • 04/2012 → 06/2021
    Lumsden & Mccormick Llp
    Buffalo, NY
  • 05/2012 → 10/2019
    1St Global Capital Corp
    Buffalo, NY
  • 09/2017 → 04/2021
    Avantax Insurance Services, Inc.
    Buffalo, NY
  • 10/2019 → 04/2021
    Avantax Investment Services, Inc.
    Buffalo, NY
  • 06/2021 → 11/2024
    Vestal, NY
  • 11/2024 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 11/2024 → Present
    Schaumburg, IL
Previous Registrations
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: 11/2017 APX NUMBER OF HOURS PER WEEK: 2 APX NUMBER OF HOURS DURING TRADING HOURS: 1 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SALES OF INSURANCE PRODUCTS; 2. NAME OF OTHER BUSINESS: CONSILIUM TAX SOLUTIONS, LLC DBA W COPPOLA TAX SERVICE INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: TAX SERVICES START DATE: 9/2022 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: 30 APX NUMBER OF HOURS DURING TRADING HOURS: 30 BRIEF DESCRIPTION OF DUTIES: BOOKKEEPING, TAX PREP, CONSULTING;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2012-07-10
  • S66 Uniform Combined State Law Examination
    2012-07-10
Designations

View on SEC IAPD

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