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

Branch Locations

12221 Merit Dr Ste 1760, Dallas, TX 75251 • 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
Uc Berkeley Berkeley CA 01/2013 05/2017
Valle Makoff Llp Walnut Creek CA 02/2016 12/2018
Self-Employed Berkeley CA 02/2014 11/2018
Bay Area Council San Francisco CA 06/2018 08/2018
Coro Northern California San Francisco CA 09/2017 06/2018
Tartan Financial Services Crystal Lake IL 03/2019 Present
Cetera Wealth Services, Llc El Segundo CA 03/2019 Present
Exemplar Accounting And Tax Advisors Crystal Lake IL 11/2018 05/2019
Breakthrough Results Consulting Crystal Lake IL 11/2018 12/2022
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
Simpson Thacher & Bartlett Llp Houston TX 05/2026 Present
  • 01/2013 → 05/2017
    Uc Berkeley
    Berkeley, CA
  • 02/2016 → 12/2018
    Valle Makoff Llp
    Walnut Creek, CA
  • 02/2014 → 11/2018
    Self-Employed
    Berkeley, CA
  • 06/2018 → 08/2018
    Bay Area Council
    San Francisco, CA
  • 09/2017 → 06/2018
    Coro Northern California
    San Francisco, CA
  • 03/2019 → Present
    Tartan Financial Services
    Crystal Lake, IL
  • 03/2019 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 11/2018 → 05/2019
    Exemplar Accounting And Tax Advisors
    Crystal Lake, IL
  • 11/2018 → 12/2022
    Breakthrough Results Consulting
    Crystal Lake, IL
  • 06/2023 → Present
    Schaumburg, IL
  • 05/2026 → Present
    Simpson Thacher & Bartlett Llp
    Houston, TX
Other Businesses

1) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 3/2019 APX NUMBER OF HOURS PER WEEK: VARIES APX NUMBER OF HOURS DURING TRADING HOURS: VARIES POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE AND HEALTH INSURANCE 2) NAME OF OTHER BUSINESS: TARTAN FINANCIAL SERVICES, LLC INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 03/2019 POSITION/TITLE/RELATIONSHIP: CHIEF OPERATIONS OFFICER APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: DBA NAME FOR SECURITIES BUSINESS 3) NAME OF OTHER BUSINESS: SIMPSON THACHER & BARTLETT LLP INVESTMENT RELATED: NO ADDRESS: 1000 MAIN STREET STE 2900, HOUSTON TX 77002; NATURE OF BUSINESS: LAW FIRM START DATE: 5/11/2026 POSITION/TITLE/RELATIONSHIP: SUMMER ASSOCIATE APX NUMBER OF HOURS PER WEEK: 35 APX NUMBER OF HOURS DURING TRADING HOURS: 28 BRIEF DESCRIPTION OF DUTIES: DUTIES WILL BE IN SERVICE OF INTERNAL PROCESSES AND COLLEAGUES

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-04-25
  • S66 Uniform Combined State Law Examination
    2019-04-25
Designations

View on SEC IAPD

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