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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 2023-08-10
TX RA APPROVED_RES 2023-08-10
  • CT RA
    APPROVED
    Since 2023-08-10
  • TX RA
    APPROVED_RES
    Since 2023-08-10

Branch Locations

115 Glastonbury Blvd Suite 104, Glastonbury, CT 06033 • 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
Pioneer Financial Group Springfield MA 04/2015 04/2017
Minnesota Life Insurance Company St Paul MN 04/2015 08/2023
Securian Financial Services, Inc St Paul MN 04/2015 08/2023
Tpc Riverhighlands Golf Course Cromwell CT 08/2010 12/2016
Pioneer Financial Group Avon CT 04/2017 09/2020
Pioneer Financial Group Windsor CT 10/2020 Present
Cetera Wealth Services, Llc Windsor CT 08/2023 Present
Cetera Investment Advisers Llc Schaumburg IL 08/2023 Present
  • 04/2015 → 04/2017
    Pioneer Financial Group
    Springfield, MA
  • 04/2015 → 08/2023
    Minnesota Life Insurance Company
    St Paul, MN
  • 04/2015 → 08/2023
    Securian Financial Services, Inc
    St Paul, MN
  • 08/2010 → 12/2016
    Tpc Riverhighlands Golf Course
    Cromwell, CT
  • 04/2017 → 09/2020
    Pioneer Financial Group
    Avon, CT
  • 10/2020 → Present
    Pioneer Financial Group
    Windsor, CT
  • 08/2023 → Present
    Cetera Wealth Services, Llc
    Windsor, CT
  • 08/2023 → Present
    Schaumburg, IL
Previous Registrations
  • 2015-08-14 → 2023-08-10
    Securian Financial Services, Inc.
    Longmeadow, MA
    Windsor, CT
    St. Paul, MN
Other Businesses

PIONEER FIXED INSURANCE POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 09/01/2016 ADDRESS:SAME AS REGISTERED LOCATION, DESCRIPTION: Agent/Broker TYLER JAMES CORPORATION POSITION: Owner NATURE: Business Owner INVESTMENT RELATED: No NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 40 START DATE: 09/21/2020 ADDRESS: 360 Bloomfield Avenue, Windsor CT 06095, United States DESCRIPTION: I created an S - Corporation for my Financial Planning Business for a multitude of reasons, Including tax reasonings and employee payments. This OBA will not be marketed to anyone in any form

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-06-11
  • S66 Uniform Combined State Law Examination
    2015-06-11
Designations

View on SEC IAPD

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