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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 2026-08-26
NY RA APPROVED 2026-08-26
  • CT RA
    APPROVED
    Since 2026-08-26
  • NY RA
    APPROVED
    Since 2026-08-26

Branch Locations

2 Stony Hill Road Suite 208, Bethel, CT 06801 • 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
Massmutual Life Insurance Company Tarrytown NY 07/2004 08/2026
Mml Investors Services Llc Norwalk CT 10/2004 12/2023
Mml Investors Services Llc Norwalk CT 06/2024 08/2026
Cetera Wealth Services, Llc El Segundo CA 08/2026 Present
Cetera Investment Advisers Llc Schaumburg IL 08/2026 Present
Previous Registrations
Other Businesses

1. NAME OF OTHER BUSINESS: FINANCIAL GUIDE SOLUTIONS LLC INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 02/2026 POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL APX NUMBER OF HOURS PER WEEK: 20 APX NUMBER OF HOURS DURING TRADING HOURS: 2 BRIEF DESCRIPTION OF DUTIES: PROVIDE FINANCIAL SERVICES 2. NAME OF OTHER BUSINESS: WESTCHESTER CHILDRENS ASSOCIATION INVESTMENT RELATED: NO ADDRESS: WHITE PLAINS, NY NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 09/2006 POSITION/TITLE/RELATIONSHIP: BOARD MEMBER APX NUMBER OF HOURS PER WEEK: 4 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: FINANCE COMMITTEE, REVIEW MONTHLY INCOME AND EXPENSES, CASH FLOW, GRANTS. 3. NAME OF OTHER BUSINESS: RENTAL PROPERTY INVESTMENT RELATED: NO ADDRESS: FRIPP ISLAND, SC NATURE OF BUSINESS: RENTAL START DATE: 07/1997 POSITION/TITLE/RELATIONSHIP: LANDLORD APX NUMBER OF HOURS PER WEEK: 5 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: RENTAL SERVICES

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2004-10-22
  • S63 Uniform Securities Agent State Law Examination
    2004-10-22
Designations
Other Names
  • Joanne Carobene

View on SEC IAPD

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