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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 2024-09-10
KY RA APPROVED 2020-11-12
  • TX RA
    APPROVED_RES
    Since 2024-09-10
  • KY RA
    APPROVED
    Since 2020-11-12

Branch Locations

2011 Lake Point Way #101, Louisville, KY 40223 • 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
Ohio University Athens OH 08/2014 Present
First Allied Advisory Services, Inc. Chesterfield MO 08/2015 11/2020
First Allied Securities Inc. San Diego CA 05/2015 09/2022
Cetera Investment Advisers Llc Schaumburg IL 11/2020 Present
Cetera Advisors Llc Lousiville KY 09/2022 Present
  • 08/2014 → Present
    Ohio University
    Athens, OH
  • 08/2015 → 11/2020
    First Allied Advisory Services, Inc.
    Chesterfield, MO
  • 05/2015 → 09/2022
    First Allied Securities Inc.
    San Diego, CA
  • 11/2020 → Present
    Schaumburg, IL
  • 09/2022 → Present
    Cetera Advisors Llc
    Lousiville, KY
Previous Registrations
  • 2015-08-25 → 2020-11-12
    First Allied Advisory Services, Inc.
    Louisville, KY
    Louisville, KY
Other Businesses

1.) DAVIS FINANCIAL SERVICES, INC; INDEPENDENT CONTRACTOR; DBA; START DATE 05/18/2015; 160 HOURS PER MONTH. 2.) INSURANCE; AGENT; INSURANCE; START DATE 08/12/2015; 160 HOURS PER MONTH. 3.) DAVIS, MAYFIELD AND ASSOCIATES; DBA; FINANCIAL PLANNER; START DATE: 08/16/2017; 160 HOURS PER MONTH. 4.) DFS TAX LLC; VICE PRESIDENT; NON-CPA ACCOUNTING AND/OR TAX PREPARATION; START DATE: 01/01/2020; 40 HOURS PER MONTH.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2015-08-13
S63 Uniform Securities Agent State Law Examination 2015-07-02
  • S65 Uniform Investment Adviser Law Examination
    2015-08-13
  • S63 Uniform Securities Agent State Law Examination
    2015-07-02

View on SEC IAPD

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