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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
CA RA APPROVED 2024-03-21
  • CA RA
    APPROVED
    Since 2024-03-21

Branch Locations

1777 Botelho Drive Suite 275, Walnut Creek, CA 94596 • 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
Scottrade Inc Denver CO 05/2015 12/2017
Institutional Cash Distributors, Llc San Francisco CA 10/2018 09/2021
Td Ameritrade Denver CO 01/2018 05/2018
Unemployed Danville CA 05/2018 10/2018
Td Ameritrade/Schwab Walnut Creek CA 01/2022 12/2022
Unemployed Walnut Creek CA 09/2021 01/2022
Charles Schwab Bank Ssb Walnut Creek CA 11/2023 01/2024
Charles Schwab And Co., Inc. Walnut Creek CA 12/2022 01/2024
Cetera Advisors Llc St Cloud MN 02/2024 Present
Cetera Investment Advisers Llc Schaumburg IL 03/2024 Present
  • 05/2015 → 12/2017
    Scottrade Inc
    Denver, CO
  • 10/2018 → 09/2021
    Institutional Cash Distributors, Llc
    San Francisco, CA
  • 01/2018 → 05/2018
    Td Ameritrade
    Denver, CO
  • 05/2018 → 10/2018
    Unemployed
    Danville, CA
  • 01/2022 → 12/2022
    Td Ameritrade/Schwab
    Walnut Creek, CA
  • 09/2021 → 01/2022
    Unemployed
    Walnut Creek, CA
  • 11/2023 → 01/2024
    Charles Schwab Bank Ssb
    Walnut Creek, CA
  • 12/2022 → 01/2024
    Charles Schwab And Co., Inc.
    Walnut Creek, CA
  • 02/2024 → Present
    Cetera Advisors Llc
    St Cloud, MN
  • 03/2024 → Present
    Schaumburg, IL
Previous Registrations
  • 2022-04-12 → 2024-01-10
    Walnut Creek, CA
    Walnut Creek, CA
    Campbell, CA
  • 2022-03-08 → 2023-09-07
    Td Ameritrade Investment Management, Llc
    Walnut Creek, CA
    Walnut Creek, CA
  • 2022-03-08 → 2022-10-14
    Td Ameritrade, Inc.
    Walnut Creek, CA
Other Businesses

1) NAME OF OTHER BUSINESS: N/A, INVESTMENT RELATED: NO, ADDRESS: 6815 W 84TH WAY, ARVADA, CO 8003, NATURE OF BUSINESS: REAL ESTATE, START DATE: 01/2018, POSITION/TITLE/RELATIONSHIP: OWNER, APX NUMBER OF HOURS PER WEEK1, NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: OWNED RENTAL PROPERTY UNDER PROPERTY MANAGEMENT; 2) NAME OF OTHER BUSINESS: ENHANCED FINANCIAL GROUP; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 08/2024; POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL; 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 2022-03-07
S63 Uniform Securities Agent State Law Examination 2015-10-05
  • S66 Uniform Combined State Law Examination
    2022-03-07
  • S63 Uniform Securities Agent State Law Examination
    2015-10-05

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