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

Branch Locations

42544 10Th St W, Ste F, Lancaster, CA 93534 • 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 11/2018 Present
Ce Enterprises Inc. Dba First Honda Simi Valley CA 01/1997 12/2018
Westlake Coach Company Llc Dba O'GAra Coach Westlake Village ; Thousand Oaks CA 08/2021 07/2022
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
  • 11/2018 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 01/1997 → 12/2018
    Ce Enterprises Inc. Dba First Honda
    Simi Valley, CA
  • 08/2021 → 07/2022
    Westlake Coach Company Llc Dba O'GAra Coach Westlake Village ;
    Thousand Oaks, CA
  • 06/2023 → Present
    Schaumburg, IL
Other Businesses

(1) NAME OF OTHER BUSINESS: ANTELOPE TAX SERVICE INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: TAX PREPARATION START DATE: 01/2019 APX NUMBER OF HOURS PER WEEK: SEASONAL APX NUMBER OF HOURS DURING TRADING HOURS: SEASONAL BRIEF DESCRIPTION OF DUTIES: TAX PREPARATION (2) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 1/2020; APX NUMBER OF HOURS PER WEEK: 6; APX NUMBER OF HOURS DURING TRADING HOURS: 6; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, ANNUITIES AND LONG-TERM CARE;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-01-09
  • S66 Uniform Combined State Law Examination
    2019-01-09
Other Names
  • Dan Rice

View on SEC IAPD

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