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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 2023-02-23
WA RA APPROVED 2019-02-27
  • TX RA
    APPROVED_RES
    Since 2023-02-23
  • WA RA
    APPROVED
    Since 2019-02-27

Branch Locations

10520 Gravelly Lake Drive Sw, Lakewood, WA 98499 • United States

19707 44Th Ave W Ste 204, Lynnwood, WA 98036 • 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
Farmers Financial Solutions Bothell WA 03/2015 12/2018
Farmers Bothell WA 02/2015 12/2018
Cetera Financial Specialists Llc Schaumburg IL 02/2019 Present
Robert Hayes Lakewood WA 01/2019 12/2020
Woods Insurance Agency Kenmore WA 05/2015 12/2020
Cetera Investment Advisers Llc Schaumburg IL 02/2019 Present
Rock Ridge Financial Llc, Dba Rockridge Financial Services; Lakewood WA 06/2019 Present
  • 03/2015 → 12/2018
    Farmers Financial Solutions
    Bothell, WA
  • 02/2015 → 12/2018
    Farmers
    Bothell, WA
  • 02/2019 → Present
    Cetera Financial Specialists Llc
    Schaumburg, IL
  • 01/2019 → 12/2020
    Robert Hayes
    Lakewood, WA
  • 05/2015 → 12/2020
    Woods Insurance Agency
    Kenmore, WA
  • 02/2019 → Present
    Schaumburg, IL
  • 06/2019 → Present
    Rock Ridge Financial Llc, Dba Rockridge Financial Services;
    Lakewood, WA
Other Businesses

1) NAME OF OTHER BUSINESS: ROCK RIDGE FINANCIAL LLC, DBA ROCKRIDGE FINANCIAL SERVICES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: DBA FOR FINANCIAL SERVICES; START DATE: 06/2019; POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: FINANCIAL SERVICES; 2) NAME OF OTHER BUSINESS: LETIP; INVESTMENT RELATED: NO; ADDRESS: 1826 W BROADWAY RD, SUITE 20 MESA, AZ 85202; NATURE OF BUSINESS: BUSINESS REFERRAL GROUP; START DATE: 04/2024; POSITION/TITLE/RELATIONSHIP: SECRETARY; APX NUMBER OF HOURS PER WEEK: 3; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: PRESENT COMMUNICATIONS FROM HOME OFFICE, UPDATE OUR CHAPTER ROSTER ONLINE, ORGANIZE LUNCHES, ARRANGE BOARD MEETINGS, TAKE MINUTES;

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2019-02-25
S63 Uniform Securities Agent State Law Examination 2015-07-01
  • S65 Uniform Investment Adviser Law Examination
    2019-02-25
  • S63 Uniform Securities Agent State Law Examination
    2015-07-01
Designations

View on SEC IAPD

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