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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
MA RA APPROVED 2026-03-19
  • MA RA
    APPROVED
    Since 2026-03-19

Branch Locations

85 Samoset St Ste 34, Plymouth, MA 02360 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Geneva Advisors, Llc Chicago IL 07/2015 08/2017
Franklin Templeton Distributors, Inc San Mateo CA 02/2018 10/2020
Unemployed Marshfield MA 09/2017 02/2018
Franklin Templeton Financial Services Corp. San Mateo CA 07/2019 10/2020
Kovack Securities, Llc Fort Lauderdale FL 01/2021 02/2026
Kovack Advisors, Llc Fort Lauderdale FL 01/2021 02/2026
Cetera Wealth Services, Llc El Segundo CA 03/2026 Present
Cetera Investment Advisers Llc Schaumburg IL 03/2026 Present
Baker & Eitas Financial Services Plymouth MA 01/2021 Present
  • 07/2015 → 08/2017
    Geneva Advisors, Llc
    Chicago, IL
  • 02/2018 → 10/2020
    Franklin Templeton Distributors, Inc
    San Mateo, CA
  • 09/2017 → 02/2018
    Unemployed
    Marshfield, MA
  • 07/2019 → 10/2020
    Franklin Templeton Financial Services Corp.
    San Mateo, CA
  • 01/2021 → 02/2026
    Kovack Securities, Llc
    Fort Lauderdale, FL
  • 01/2021 → 02/2026
    Kovack Advisors, Llc
    Fort Lauderdale, FL
  • 03/2026 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 03/2026 → Present
    Schaumburg, IL
  • 01/2021 → Present
    Baker & Eitas Financial Services
    Plymouth, MA
Previous Registrations
Other Businesses

1. NAME OF OTHER BUSINESS: BAKER & EITAS FINANCIAL SERVICES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: DBA FOR FINANCIAL SERVICES START DATE: 01/2021 POSITION/TITLE/RELATIONSHIP: MANAGING PARTNER APX NUMBER OF HOURS PER WEEK: 50 APX NUMBER OF HOURS DURING TRADING HOURS: 6.5 BRIEF DESCRIPTION OF DUTIES: WEALTH MANAGER; 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: 1/15/2021; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SALES OF FIXED INSURANCE PRODUCTS;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2012-10-01
S63 Uniform Securities Agent State Law Examination 2005-07-20
  • S66 Uniform Combined State Law Examination
    2012-10-01
  • S63 Uniform Securities Agent State Law Examination
    2005-07-20

View on SEC IAPD

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