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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 2014-02-11
  • PA RA
    APPROVED
    Since 2014-02-11

Branch Locations

166 Main Street, Greenville, PA 16125 • 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
First National Bank Of Pa Greenville PA 02/2014 Present
Cetera Investment Services Llc St.CLoud MN 02/2014 Present
Cetera Investment Advisors Llc Greenville PA 02/2014 Present
  • 02/2014 → Present
    First National Bank Of Pa
    Greenville, PA
  • 02/2014 → Present
    Cetera Investment Services Llc
    St.CLoud, MN
  • 02/2014 → Present
    Cetera Investment Advisors Llc
    Greenville, PA
Previous Registrations
  • 2011-10-18 → 2014-01-07
    Montursville, PA
    Sandy Lake, PA
    Montoursville, PA
    Fredonia, PA
    Stoneboro, PA
    Clintonville, PA
    Mercer, PA
    Grove City, PA
    Sandy Lake, PA
    Cambridge Springs, PA
    Cochranton, PA
    Meadville, PA
  • 2009-09-18 → 2011-10-20
    Uvest Financial Services Group, Inc.
    Sandy Lake, PA
    Sandy Lakes, PA
    Stoneboro, PA
    Fredonia, PA
    Mercer, PA
    Grove City, PA
    Cochranton, PA
    Meadville, PA
    Cambridge, PA
    Clintonville, PA
  • 2007-08-01 → 2009-09-02
    Hermitage, PA
  • 2005-09-09 → 2007-08-01
    National Planning Corporation
    Monroeville, PA
    West Middlesex, PA
    Hermitage, PA
    New Bedford, PA
    New Castle, PA
    New Wilmington, PA
    Mercer, PA
    Sharon, PA
    Ambrigde, PA
    Monroeville, PA
Other Businesses

1.) RECEIVES COMPENSATION FOR REFERRALS TO FIRST NATIONAL BANK TRUST DEPARTMENT 2.) GRACE CHAPEL COMMUNITY CHURCH-ELDER BOARD CHAIRMAN. ASSISTS IN GUIDING THE CHURCH MISSION. 2 HRS/WK BROCKFIELD YOUTH BASEBALL & SOFTBALL COACH & TREASURER- WILL NOT SIGN CHECKS. 3) GREENVILLE MUNICPAL AIRPORT-COMMISSIONER & SECRETARY. PROVIDES MINUTES. 4) FIXED LIFE INSURANCE SALES OUTSIDE OF CETERA

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2004-12-06
S63 Uniform Securities Agent State Law Examination 2004-11-12
  • S65 Uniform Investment Adviser Law Examination
    2004-12-06
  • S63 Uniform Securities Agent State Law Examination
    2004-11-12
Other Names
  • Dow W Lindholm

View on SEC IAPD

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