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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
CT RA APPROVED 2023-06-29
TX RA APPROVED_RES 2023-06-29
  • CT RA
    APPROVED
    Since 2023-06-29
  • TX RA
    APPROVED_RES
    Since 2023-06-29

Branch Locations

8 Wright Street Suite 107 - #4323, Westport, CT 06880 • 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
Westport Resources Investment Services, Inc. Westport CT 04/2016 01/2018
Cetera Wealth Services, Llc El Segundo CA 01/2018 Present
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
  • 04/2016 → 01/2018
    Westport Resources Investment Services, Inc.
    Westport, CT
  • 01/2018 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 06/2023 → Present
    Schaumburg, IL
Other Businesses

1. NAME OF OTHER BUSINESS: MNS WEALTH MANAGEMENT; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: DBA FOR FINANCIAL SERVICES; START DATE: 05/2018; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-12-22
  • S66 Uniform Combined State Law Examination
    2016-12-22
Other Names
  • Miles Saunders

View on SEC IAPD

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