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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
MA RA APPROVED 2024-03-21
TX RA APPROVED 2024-03-21
  • MA RA
    APPROVED
    Since 2024-03-21
  • TX RA
    APPROVED
    Since 2024-03-21

Branch Locations

982 Eastern Ave, Fall River, MA 02723 • 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
Investors Capital Corporarion Lynnfield MA 03/2004 10/2016
J. Marshall Associates Inc. Fall River MA 02/2000 Present
Cetera Advisors Llc Denver CO 10/2016 Present
Faxon Animal Rescue League Fall River MA 09/2002 Present
Cetera Investment Advisers Llc Schaumburg IL 03/2024 Present
  • 03/2004 → 10/2016
    Investors Capital Corporarion
    Lynnfield, MA
  • 02/2000 → Present
    J. Marshall Associates Inc.
    Fall River, MA
  • 10/2016 → Present
    Cetera Advisors Llc
    Denver, CO
  • 09/2002 → Present
    Faxon Animal Rescue League
    Fall River, MA
  • 03/2024 → Present
    Schaumburg, IL
Previous Registrations
  • 2006-10-24 → 2016-10-03
    Investors Capital Corp.
    Lynnfield, MA
    Fall River, MA
    Fall River, MA
    Lynnfield, MA
    Lynnfield, MA
    Lynnfield, MA
    Lynnfield, MA
Other Businesses

1. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERD LOCATION, NATURE OF BUSINESS: FIXED INSURANCE, START DATE: 8/2016, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF TRADING HOURS PER WEEK: 32.5, POSITION/TITLE/RELATIONSHIP: AGENT, BRIEF DESCRIPTION OF DUTIES: LIFE, HEALTH, DISABILITY, ANNUITIES & LONG TERM CARE; 2. NAME OF OTHER BUSINESS: J. MARSHALL ASSOCIATES & J. MARSHALL ASSOCIATES INSURANCE SERVICES INC, INVESTMENT RELATED: YES, ADDRESS: 982 EASTERN AVE FALL RIVER MA 02723, NATURE OF BUSINESS: DBA FOR FINANCIAL SERVICES, SECURITIES & INSURANCE, START DATE: 2/2000, APX NUMBER OF HOURS PER WEEK: 30, APX NUMBER OF TRADING HOURS PER WEEK: 30, POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR, BRIEF DESCRIPTION OF DUTIES: MEETS WITH NEW & EXISTING CLIENTS FOR INSURANCE, ANNUITY & SECURITIES 3. NAME OF OTHER BUSINESS: FAXON ANIMAL RESCUE LEAGUE, INVESTMENT RELATED: NO, ADDRESS: 474 DURFEE ST FALL RIVER MA 02720, NATURE OF BUSINESS: FUNDRAISING FOR ANIMAL SHELTER, START DATE: 9/2002, APX NUMBER OF HOURS PER WEEK: 1, APX NUMBER OF TRADING HOURS PER WEEK: 1, POSITION/TITLE/RELATIONSHIP: BOARD OF DIRECTORS, BRIEF DESCRIPTION OF DUTIES: ATTEND MEETING AND ORGANIZE FUNDRAISING ACTIVITIES; 4. NAME OF OTHER BUSINESS: ROTARY CLUB OF FALL RIVER; INVESTMENT RELATED: NO; ADDRESS: 66 STATE RD WESTPORT, MA 02790; NATURE OF BUSINESS: NON PROFIT; START DATE: 7/2022; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER; APX NUMBER OF HOURS PER WEEK:2 ; APX NUMBER OF HOURS DURING TRADING HOURS: 2; BRIEF DESCRIPTION OF DUTIES: BOARD MEMBER;

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-10-11
S63 Uniform Securities Agent State Law Examination 2000-06-02
  • S65 Uniform Investment Adviser Law Examination
    2006-10-11
  • S63 Uniform Securities Agent State Law Examination
    2000-06-02
Designations
Other Names
  • Kimberly Anne Doyle
  • Kim Anne Butterfield
  • Butterfield Anne Doyle

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