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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_RES 2022-04-22
FL RA APPROVED 2020-12-08
  • TX RA
    APPROVED_RES
    Since 2022-04-22
  • FL RA
    APPROVED
    Since 2020-12-08

Branch Locations

Tampa, FL • United States

3903 Northdale Boulevard Suite 270E, Tampa, FL 33624 • 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
Gilman Ciocia, Inc Tampa FL 12/2014 12/2020
National Securities Corporation Tampa FL 12/2014 12/2020
National Asset Management Tampa FL 02/2016 12/2020
Cetera Financial Specialists Llc Schaumburg IL 12/2020 Present
Cetera Invesment Advisers Llc Schaumburg IL 12/2020 Present
National Securities Corp Tampa FL 12/2014 12/2020
Df Wealth Services, Llc Tampa FL 12/2023 Present
  • 12/2014 → 12/2020
    Gilman Ciocia, Inc
    Tampa, FL
  • 12/2014 → 12/2020
    National Securities Corporation
    Tampa, FL
  • 02/2016 → 12/2020
    National Asset Management
    Tampa, FL
  • 12/2020 → Present
    Cetera Financial Specialists Llc
    Schaumburg, IL
  • 12/2020 → Present
    Cetera Invesment Advisers Llc
    Schaumburg, IL
  • 12/2014 → 12/2020
    National Securities Corp
    Tampa, FL
  • 12/2023 → Present
    Df Wealth Services, Llc
    Tampa, FL
Previous Registrations
Other Businesses

1) NAME OF OTHER BUSINESS: GENERATIONS TAX & WEALTH MANAGEMENT ; INVESTMENT RELATED: YES ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: CPA & WEALTH MANAGEMENT FIRM ; START DATE: 12/2020 ; POSITION/TITLE/RELATIONSHIP: CPA / FINANCIAL PROFESSIONAL APX NUMBER OF HOURS PER WEEK: 40 ; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 ; BRIEF DESCRIPTION OF DUTIES: INVESTMENTS, ACCOUNTING & BOOKKEEPING ; 2) NAME OF OTHER BUSINESS: DF WEALTH SERVICES, LLC ; INVESTMENT RELATED: YES; ADDRESS: SAME AS RESIDENTIAL LOCATION; NATURE OF BUSINESS: TAX AND ACCOUNTING SERVICES; START DATE: 12/2003; POSITION/TITLE/RELATIONSHIP: TAX PREPARER; APX NUMBER OF HOURS PER WEEK: 20; APX NUMBER OF HOURS DURING TRADING HOURS: 20; BRIEF DESCRIPTION OF DUTIES: PREPARE INDIVIDUAL, BUSINESS, PARTNERSHIP AND TRUST TAX RETURNS, OTHER TAX AND ACCOUNTING RELATED SERVICES;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-12-10
  • S66 Uniform Combined State Law Examination
    2015-12-10

View on SEC IAPD

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