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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
NY RA APPROVED 2024-07-17
  • NY RA
    APPROVED
    Since 2024-07-17

Branch Locations

137 Woodbury Rd, Woodbury, NY 11797 • 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
St. John'S University Jamaica NY 09/2015 05/2020
Northwestern Mutual Melville NY 05/2019 05/2020
Sullivan And Kehoe, Llp Kings Park NY 01/2018 07/2020
Cetera Advisor Networks El Segundo CA 03/2020 07/2022
Ameriprise Financial Services, Llc Jericho NY 08/2022 07/2024
Cetera Wealth Services, Llc El Segundo CA 07/2024 Present
Stefans Associates Woodbury NY 07/2024 Present
Cetera Investment Advisers Llc Schaumburg IL 07/2024 Present
  • 09/2015 → 05/2020
    St. John'S University
    Jamaica, NY
  • 05/2019 → 05/2020
    Northwestern Mutual
    Melville, NY
  • 01/2018 → 07/2020
    Sullivan And Kehoe, Llp
    Kings Park, NY
  • 03/2020 → 07/2022
    Cetera Advisor Networks
    El Segundo, CA
  • 08/2022 → 07/2024
    Ameriprise Financial Services, Llc
    Jericho, NY
  • 07/2024 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 07/2024 → Present
    Stefans Associates
    Woodbury, NY
  • 07/2024 → Present
    Schaumburg, IL
Other Businesses

1. NAME OF OTHER BUSINESS: STEFANS ASSOCIATES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 7/2024 POSITION/TITLE/RELATIONSHIP: FINANCIAL REPRESENTATIVE APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 20 BRIEF DESCRIPTION OF DUTIES: ASSIST IN THE INVESTMENT BUSINESS THAT IS SPREAD ACROSS THE TAX, LEGAL, AND INVESTMENT PRACTICES; 2. NAME OF OTHER BUSINESS: THE STEFANS GROUP; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: BUSINESS MARKETING; START DATE: 07/2024; POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 20; BRIEF DESCRIPTION OF DUTIES: DBA FOR BRANDING AND MARKETING;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-10-20
  • S66 Uniform Combined State Law Examination
    2023-10-20
Other Names
  • Joseph John Sabia

View on SEC IAPD

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