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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
DE RA APPROVED 2025-04-08
  • DE RA
    APPROVED
    Since 2025-04-08

Branch Locations

900 Prides Crossing, Newark, DE 19713 • 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
M&T Securities, Inc. Bear DE 05/2016 04/2025
Lpl Financial Llc Newark DE 06/2021 04/2025
Lpl Financial Llc Newark DE 06/2021 04/2025
Cetera Wealth Services, Llc El Segundo CA 04/2025 Present
Cetera Investment Advisers Llc Schaumburg IL 04/2025 Present
Previous Registrations
  • 2021-06-09 → 2025-04-14
    Bear, DE
    Newark, DE
    Newark, DE
    Wilmington, DE
    Wilmington, DE
  • 2016-07-05 → 2021-06-09
    M&T Securities, Inc.
    Wilmington, DE
    Wilkes-Barre, PA
    Bear, DE
    Newark, DE
    Newark, DE
    Wilmington, DE
    Baltimore, MD
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: 07/2016; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 40; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SALES OF FIXED INSURANCE PRODUCTS; 2. NAME OF OTHER BUSINESS: CATHOLIC YOUTH & YOUNG ADULT MINISTRY; INVESTMENT RELATED: NO; ADDRESS: WILMINGTON, DE 19808; NATURE OF BUSINESS: CATHOLIC YOUTH ORGANIZATION; START DATE: 8/2018; POSITION/TITLE/RELATIONSHIP: COACH; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: NONE; BRIEF DESCRIPTION OF DUTIES: COACHING KIDS; 3. NAME OF OTHER BUSINESS: DIAMOND STATE FINANCIAL GROUP; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: INSURANCE, SECURITIES, AND ADVISORY SERVICES; START DATE: 04/2025; POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 40; BRIEF DESCRIPTION OF DUTIES: FINANCIAL ADVISOR;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-01-23
  • S66 Uniform Combined State Law Examination
    2015-01-23

View on SEC IAPD

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