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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
NV RA APPROVED 2023-06-29
TX RA APPROVED_RES 2023-06-29
  • CA RA
    APPROVED
    Since 2023-06-29
  • NV RA
    APPROVED
    Since 2023-06-29
  • TX RA
    APPROVED_RES
    Since 2023-06-29

Branch Locations

318 N Carson St, Suite 201, Carson City, NV 89701 • United States

723 N Main St, Manteca, CA 95336 • 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
Cetera Wealth Services, Llc El Segundo CA 01/2013 Present
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
Previous Registrations
  • 2006-03-09 → 2011-03-21
    National Planning Corporation
    Stockton, CA
    Lodi, CA
Other Businesses

(1) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED: YES, POSITION/TITLE/RELATIONSHIP: REPRESENTATIVE, BRIEF DESCRIPTION OF DUTIES: LIFE, ANNUITIES AND LTC; (2) NAME OF OTHER BUSINESS: LAVERONE AND NOGARE RANCH, INVESTMENT RELATED: NO, ADDRESS: 7515 PEZZI RD. STOCKTON, CA 95215, NATURE OF BUSINESS: FARMING, START DATE: 01/30/13, POSITION/TITLE/RELATIONSHIP: RANCH WORKER. IRRIGATING, TRIMMING TREES, HARVESTING, SPRAYING AND MOWING, APX NUMBER OF HOURS PER WEEK: 8, APX NUMBER OF HOURS DURING TRADING HOURS: N/A, BRIEF DESCRIPTION OF DUTIES: RANCH WORKER. IRRIGATING, TRIMMING TREES, HARVESTING, SPRAYING AND MOWING; (3) NAME OF OTHER BUSINESS: CAPITAL WEALTH MANAGEMENT INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: BROKERAGE, INVESTMENT ADVISOR, LIFE INSURANCE SALES, START DATE: 01/2014, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 35, BRIEF DESCRIPTION OF DUTIES: STOCK AND INSURANCE SALES, INVESTMENT ADVISORY SERVICES; (4) NAME OF OTHER BUSINESS: CAPITAL WEALTH MANAGEMENT CARSON LLC; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: EXPENSE MANAGEMENT; START DATE: 01/2025; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: DBA TO PAY OFFICE EXPENSES;

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-03-06
S63 Uniform Securities Agent State Law Examination 2005-02-25
  • S65 Uniform Investment Adviser Law Examination
    2006-03-06
  • S63 Uniform Securities Agent State Law Examination
    2005-02-25

View on SEC IAPD

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