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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 2023-06-29
  • CA RA
    APPROVED
    Since 2023-06-29

Branch Locations

2301 Rosecrans Avenue Suite 5100, El Segundo, CA 90245-5672 • United States

Valencia, CA • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Valencia CA 06/2015 11/2017
Bank Of America, N.A. Valencia CA 05/2017 11/2017
The Jcs Foundation Los Angeles CA 06/2018 10/2019
Institutional Cash Distributors, Llc San Francisco CA 10/2019 09/2021
Cetera Wealth Services, Llc El Segundo CA 12/2021 Present
Cetera Advisors Llc Greenwood Village CO 12/2021 Present
Cetera Investment Services Llc St Cloud MN 12/2021 Present
Cetera Financial Specialists Llc Schaumburg IL 12/2021 Present
First Allied Securities Inc San Diego CA 12/2021 09/2022
Unemployed Los Angeles CA 09/2021 12/2021
Unemployed Los Angeles CA 11/2017 06/2018
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
  • 06/2015 → 11/2017
    Valencia, CA
  • 05/2017 → 11/2017
    Bank Of America, N.A.
    Valencia, CA
  • 06/2018 → 10/2019
    The Jcs Foundation
    Los Angeles, CA
  • 10/2019 → 09/2021
    Institutional Cash Distributors, Llc
    San Francisco, CA
  • 12/2021 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 12/2021 → Present
    Cetera Advisors Llc
    Greenwood Village, CO
  • 12/2021 → Present
    Cetera Investment Services Llc
    St Cloud, MN
  • 12/2021 → Present
    Cetera Financial Specialists Llc
    Schaumburg, IL
  • 12/2021 → 09/2022
    First Allied Securities Inc
    San Diego, CA
  • 09/2021 → 12/2021
    Unemployed
    Los Angeles, CA
  • 11/2017 → 06/2018
    Unemployed
    Los Angeles, CA
  • 06/2023 → Present
    Schaumburg, IL
Previous Registrations
Other Businesses

1. NAME OF OTHER BUSINESS: BLU LOTUS LLC INVESTMENT RELATED: NO ADDRESS: GILBERT, AZ NATURE OF BUSINESS: REAL ESTATE START DATE: 12/2010 POSITION/TITLE/RELATIONSHIP: MEMBER APX NUMBER OF HOURS PER WEEK: .5 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: MEMBER OF LLC - NO RESPONSIBILITIES

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-02-17
S63 Uniform Securities Agent State Law Examination 2015-09-24
  • S66 Uniform Combined State Law Examination
    2017-02-17
  • S63 Uniform Securities Agent State Law Examination
    2015-09-24
Designations
Other Names
  • Neel R Hasan

View on SEC IAPD

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