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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
PA RA APPROVED 2024-03-21
TX RA APPROVED 2024-03-21
  • PA RA
    APPROVED
    Since 2024-03-21
  • TX RA
    APPROVED
    Since 2024-03-21

Branch Locations

3875 Franklintowne Ct Ste 130, Murrysville, PA 15668 • United States

Natrona Heights, PA • United States

Natrona Heights, PA • 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
Rising Regina, Llc Natrona Heights PA 09/2010 Present
Axa Advisors, Llc New York NY 09/2015 12/2018
Lpl Financial Llc Murrysville PA 01/2019 04/2021
Cetera Advisors Llc St. Cloud MN 04/2021 Present
The Advisors, Llc Murrysville PA 06/2019 Present
Cetera Investment Advisers Llc Schaumburg IL 03/2024 Present
  • 09/2010 → Present
    Rising Regina, Llc
    Natrona Heights, PA
  • 09/2015 → 12/2018
    Axa Advisors, Llc
    New York, NY
  • 01/2019 → 04/2021
    Murrysville, PA
  • 04/2021 → Present
    Cetera Advisors Llc
    St. Cloud, MN
  • 06/2019 → Present
    The Advisors, Llc
    Murrysville, PA
  • 03/2024 → Present
    Schaumburg, IL
Previous Registrations
Other Businesses

1) THE ADVISORS, LLC, INVESTMENT RELATED, SAME AS REGISTERED LOCATION, FINANCIAL SERVICES, STARTED 06/2019, FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 60, 32.5 DURING TRADING HOURS BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 2) FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED, SAME AS REGISTERED LOCATION, FIXED INSURANCE, START DATE 05/2015, INSURANCE AGENT, APX NUMBER OF HOURS PER WEEK: VARIES, APX NUMBER OF HOURS DURING TRADING HOURS: VARIES, SELLS LIFE, DISABILITY AND LONG-TERM: 3) RISING REGINA, LLC, NOT INVESTMENT RELATED, 1507 SYLVAN AVE, NATRONA HEIGHTS, PA, 15065, MUSIC, STARTED 01/2010, POSITION/TITLE/RELATIONSHIP: PART OWNER, LESS THAN ONE HOUR PER WEEK, NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES; ENTITY RECEIVES MONEY FROM PLAYING MUSICAL PERFORMANCES AND SELLING RELATED MERCHANDISE. 4) HABITAT FOR HUMANITY OF ALLEGHENY VALLEY, NOT INVESTMENT RELATED, 225 FREEPORT ST, NEW KENSINGTON, PA, 15068, NON-PROFIT, STARTED 01/2021, POSITION/TITLE/RELATIONSHIP: TREASURER, APX ½ HOUR PER WEEK, NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: TREASURER FOR ORGANIZATION; 5) NAME OF OTHER BUSINESS: SYLVAN FINANCIAL SERVICES, INC; INVESTMENT RELATED: NO; ADDRESS: SAME AS RESIDENTIAL LOCATION; NATURE OF BUSINESS: S CORP FOR TAX PURPOSES; START DATE: 4/2022; POSITION/TITLE/RELATIONSHIP: OWNER/PRESIDENT; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS 1:; BRIEF DESCRIPTION OF DUTIES: S CORP FOR TAX PURPOSES AND PAYROLL;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-10-21
  • S66 Uniform Combined State Law Examination
    2015-10-21

View on SEC IAPD

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