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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

5757 Pacific Ave Ste 248, Stockton, CA 95207 • 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
Montgomery County Public Schools - Northwest High Schools Germantown MD 08/2011 06/2022
Its Elementary Tutoring Gaithersburg MD 01/2016 07/2022
Valley Financial Services Stockton CA 08/2021 10/2024
L&J Financial Inc Oba Valley Financial Services Stockton CA 06/2021 Present
Kingdom Mission Society Reston VA 08/2016 08/2022
Cetera Wealth Services, Llc El Segundo CA 08/2021 Present
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
Valley Financial Services Stockton CA 10/2024 Present
B&A Financial Inc. Stockton CA 08/2024 Present
B&A Financial Inc. Dba Valley Financial Services Stockton CA 10/2024 Present
  • 08/2011 → 06/2022
    Montgomery County Public Schools - Northwest High Schools
    Germantown, MD
  • 01/2016 → 07/2022
    Its Elementary Tutoring
    Gaithersburg, MD
  • 08/2021 → 10/2024
    Valley Financial Services
    Stockton, CA
  • 06/2021 → Present
    L&J Financial Inc Oba Valley Financial Services
    Stockton, CA
  • 08/2016 → 08/2022
    Kingdom Mission Society
    Reston, VA
  • 08/2021 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 06/2023 → Present
    Schaumburg, IL
  • 10/2024 → Present
    Valley Financial Services
    Stockton, CA
  • 08/2024 → Present
    B&A Financial Inc.
    Stockton , CA
  • 10/2024 → Present
    B&A Financial Inc. Dba Valley Financial Services
    Stockton, CA
Other Businesses

1. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 07/28/2022; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SALES OF FIXED INSURANCE PRODUCTS; 2.NAME OF OTHER BUSINESS: VALLEY FINANCIAL SERVICES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 08/2021; POSITION/TITLE/RELATIONSHIP: PRESIDENT; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 3. NAME OF OTHER BUSINESS: B&A FINANCIAL INC. ; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: HOLDING COMPANY; START DATE: 08/2024; POSITION/TITLE/RELATIONSHIP: PRESIDENT; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: HOLDING COMPANY FOR TAX REPORTING PURPOSES; 4. NAME OF OTHER BUSINESS: L&J FINANCIAL DBA VALLEY FINANCIAL SERVICES; INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 7/2022, 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; 5. NAME OF OTHER BUSINESS: B&A FINANCIAL INC. DBA VALLEY FINANCIAL SERVICES ; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 10/2024; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 30; BRIEF DESCRIPTION OF DUTIES: FINANCIAL SERVICES;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-12-18
  • S66 Uniform Combined State Law Examination
    2021-12-18
Designations

View on SEC IAPD

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