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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
NY RA APPROVED 2021-03-31
  • NY RA
    APPROVED
    Since 2021-03-31

Branch Locations

70 N. Putt Corners Rd, New Paltz, NY 12561 • 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
Inner Space Systems Brewster NY 01/1998 04/2017
Fillette And Schain Wealth Management New Paltz NY 11/2015 02/2022
Cetera Financial Specialists Llc Schaumburg IL 11/2015 Present
Cetera Investment Advisers Llc Schaumburg IL 11/2015 Present
Clearpath Advisors, Inc New Paltz NY 02/2022 Present
  • 01/1998 → 04/2017
    Inner Space Systems
    Brewster, NY
  • 11/2015 → 02/2022
    Fillette And Schain Wealth Management
    New Paltz, NY
  • 11/2015 → Present
    Cetera Financial Specialists Llc
    Schaumburg, IL
  • 11/2015 → Present
    Schaumburg, IL
  • 02/2022 → Present
    Clearpath Advisors, Inc
    New Paltz, NY
Other Businesses

1. NAME OF OTHER BUSINESS: CLEARPATH ADVISORS, INC; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 1/2022; 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; 2.NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 06/2018; APX NUMBER OF HOURS PER WEEK: 6; APX NUMBER OF HOURS DURING TRADING HOURS: 6; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SELLS DISABILITY;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-07-23
  • S66 Uniform Combined State Law Examination
    2016-07-23

View on SEC IAPD

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