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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
FL RA APPROVED 2023-03-27
  • FL RA
    APPROVED
    Since 2023-03-27

Branch Locations

1219 S East Ave Ste C306, Sarasota, FL 34239 • 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
Think It Then Ink It Verona WI 03/2016 07/2017
Skyking Fireworks Sarasota FL 07/2017 07/2017
N/A Sarasota FL 08/2017 10/2017
Ups Sarasota FL 11/2017 01/2018
Summit Brokerage Services, Inc. Sarasota FL 02/2018 09/2019
Unemployed Sarasota FL 01/2018 05/2018
Summit Financial Group Inc Sarasota FL 02/2019 05/2021
Summit Brokerage Boca Raton FL 05/2018 02/2019
Cetera Wealth Services, Llc El Segundo CA 09/2019 Present
Cetera Investment Advisers Llc Schaumburg IL 03/2023 Present
  • 03/2016 → 07/2017
    Think It Then Ink It
    Verona, WI
  • 07/2017 → 07/2017
    Skyking Fireworks
    Sarasota, FL
  • 08/2017 → 10/2017
    N/A
    Sarasota, FL
  • 11/2017 → 01/2018
    Ups
    Sarasota, FL
  • 02/2018 → 09/2019
    Summit Brokerage Services, Inc.
    Sarasota, FL
  • 01/2018 → 05/2018
    Unemployed
    Sarasota, FL
  • 02/2019 → 05/2021
    Summit Financial Group Inc
    Sarasota, FL
  • 05/2018 → 02/2019
    Summit Brokerage
    Boca Raton, FL
  • 09/2019 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 03/2023 → Present
    Schaumburg, IL
Previous Registrations
  • 2019-02-04 → 2021-05-20
    Summit Financial Group Inc
    Sarasota, FL
Other Businesses

1) FLORIDA BURN BASEBALL; NOT INVESTMENT RELATED; 3129 DONALD ROSS RD EAST SARASOTA, FL 34240; YOUTH BASEBALL ORGANIZATION; ASSISTANT COACH; 01/02/2019; APPX 30 HOURS/MONTH; APPX 0 HOURS/MONTH DURING TRADING; ASSIST YOUTH PLAYERS IN PROPER BASEBALL MECHANICS AND SKILLS 2) ROSENBERG ASSET MANAGEMENT; INVESTMENT RELATED; SAME ADDRESS AS REGISTERED BRANCH; FINANCIAL SERVICES DBA ROSENBERG ASSET MANAGEMENT; INVESTMENT ADVISOR; 07/01/2018; APPX 40 HOURS/MONTH; APPX 40 HOURS/MONTH DURING TRADING; STARTING BUILDING MY BOOK OF BUSINESS AT SUMMIT BROKERAGE DBA ROSENBERG ASSET MANAGEMENT

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-01-25
  • S66 Uniform Combined State Law Examination
    2019-01-25
Other Names
  • Michael Dubee

View on SEC IAPD

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