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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 2023-06-29
  • MA RA
    APPROVED
    Since 2023-06-29

Branch Locations

14R Church Green, Taunton, MA 02780 • United States

700 Pleasant Street Suite 300, New Bedford, MA 02740 • 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
Sylvia & Company Dartmouth MA 03/2009 07/2019
Voya Financial Advisors Dartmouth MA 09/2014 07/2019
St. James St. John School New Bedford MA 08/2019 Present
Voya Financial Advisors Dartmouth MA 05/2021 06/2021
Cetera Wealth Services, Llc El Segundo CA 06/2021 Present
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
  • 03/2009 → 07/2019
    Sylvia & Company
    Dartmouth, MA
  • 09/2014 → 07/2019
    Voya Financial Advisors
    Dartmouth, MA
  • 08/2019 → Present
    St. James St. John School
    New Bedford, MA
  • 05/2021 → 06/2021
    Voya Financial Advisors
    Dartmouth, MA
  • 06/2021 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 06/2023 → Present
    Schaumburg, IL
Previous Registrations
  • 2017-01-04 → 2019-07-17
    Dartmouth, MA
    Braintree, MA
    Taunton, MA
  • 2007-04-02 → 2009-02-26
    Morgan Stanley & Co. Llc
    Providence, RI
  • 2007-02-09 → 2007-04-02
    Morgan Stanley Dw Inc.
    Providence, RI
  • 2007-02-06 → 2007-02-16
    Providence, RI
Other Businesses

Name of Entity: St. James St. John School; No; 180 Orchard Street, New Bedford, MA 02740; Secretary; 8/1/2019; 96; 96; Secretarial Duties; NAME OF ENTITY:Sylvia Financial; Yes; 500 FAUNCE CORNER RD; DARTMOUTH; PA; 02747; Administrative Asst; Administrative Asst; 3/1/2010; 160; 160; Administrative Asst|NAME OF ENTITY:TAUNTON FEDERAL CREDIT UNION (TFCU); Yes; 14 CHURCH GREEN; TAUNTON; MA; 02780; FINANCIAL SERVICES; CLIENT MANAGER; 6/15/2016; 60; 60; ADMINISTRATIVE TASKS AND CLIENT SERVICE|NAME OF ENTITY:CHURCH GREEN FINANCIAL SERVICES; Yes; 14 CHURCH GREEN; TAUNTON; MA; 02780; FINANCIAL SERVICES/DBA; CLIENT MANAGER; 6/21/2016; 60; 60; ADMINISTRATIVE TASKS AND CLIENT SUPPORT|NAME OF ENTITY:WOMEN'S FUND; No; 30 CORNELL ST; NEW BEDFORD; MA; 2740; NON-PROFIT ORGANIZATION; MEMBER; 10/1/2017; 4; 2; ASSIST WITH ORGANIZING ANNUAL EVENTS,LEADERSHIP BREAKFAST,COMEDY NIGHT AND LIFEWORKS GRADUATION.|

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2007-01-19
S63 Uniform Securities Agent State Law Examination 2006-08-21
  • S65 Uniform Investment Adviser Law Examination
    2007-01-19
  • S63 Uniform Securities Agent State Law Examination
    2006-08-21
Other Names
  • Paula Marie Farias

View on SEC IAPD

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