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

Branch Locations

8200 Greensboro Drive Suite 625, Mclean, VA 22102 • 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
University Of Virginia Charlottesville VA 08/2014 05/2018
Legal Aid Justice Center Charlottesville VA 01/2017 05/2017
Kcbp, Llc Mclean VA 08/2018 Present
Voya Financial Advisors, Inc. Vienna VA 08/2018 06/2021
Cetera Wealth Services, Llc El Segundo CA 06/2021 Present
Kurtz, Connor, Browning & Phillips, Llc Mclean VA 08/2018 Present
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
  • 08/2014 → 05/2018
    University Of Virginia
    Charlottesville, VA
  • 01/2017 → 05/2017
    Legal Aid Justice Center
    Charlottesville, VA
  • 08/2018 → Present
    Kcbp, Llc
    Mclean, VA
  • 08/2018 → 06/2021
    Vienna, VA
  • 06/2021 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 08/2018 → Present
    Kurtz, Connor, Browning & Phillips, Llc
    Mclean, VA
  • 06/2023 → Present
    Schaumburg, IL
Previous Registrations
Other Businesses

(1) NAME OF ENTITY: Rachel Tran - Notary Public; No; SAME AS REGISTERED LOCATION ; Notary Public; Rachel Tran-Notary Public; 9/25/2018; 1; 1; Notarize documentation| (2) NAME OF OTHER BUSINESS: KURTZ, CONNOR, BROWNING & PHILLIPS, LLC (KCBP, LLC) ; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 04/2018; 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: FINANCIAL SERVICES, CLIENT SERVICES AND PREP, PROVIDE ADMIN SERVICES;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-01-07
  • S66 Uniform Combined State Law Examination
    2019-01-07
Designations
Other Names
  • Rachel Tran

View on SEC IAPD

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