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Timothy Andrew Mogford

Cetera Investment Advisers LLC

Shillington, PA

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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
PA RA APPROVED 2020-11-12
  • PA RA
    APPROVED
    Since 2020-11-12

Branch Locations

34 West Lancaster Avenue, Shillington, PA 19607 • 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
Schuylkill Valley School District Leesport PA 06/2009 06/2019
First Allied Securities, Inc. San Diego CA 06/2019 09/2022
First Allied Advisory Services, Inc. San Diego CA 09/2020 11/2020
First Allied Advisory Services Schaumburg IL 11/2020 11/2020
Cetera Advisors Llc Shillington PA 09/2022 Present
Cetera Investment Advisers Llc Schaumburg IL 11/2020 Present
  • 06/2009 → 06/2019
    Schuylkill Valley School District
    Leesport, PA
  • 06/2019 → 09/2022
    First Allied Securities, Inc.
    San Diego, CA
  • 09/2020 → 11/2020
    First Allied Advisory Services, Inc.
    San Diego, CA
  • 11/2020 → 11/2020
    First Allied Advisory Services
    Schaumburg, IL
  • 09/2022 → Present
    Cetera Advisors Llc
    Shillington, PA
  • 11/2020 → Present
    Cetera Investment Advisers Llc
    Schaumburg, IL
Previous Registrations
  • 2020-09-01 → 2020-11-12
    First Allied Advisory Services, Inc.
    Shillington, PA
Other Businesses

1) STONE FINANCIAL LLC; EMPLOYEE; DBA; START DATE: 9/1/2020; 160 HOURS PER MONTH.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-07-30
  • S66 Uniform Combined State Law Examination
    2020-07-30

View on SEC IAPD

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STATE FARM INVESTMENT MANAGEMENT CORP.
GOOD LIFE ADVISORS, LLC
HIGHTOWER ADVISORS, LLC

Other Investors

MARK A STONE
MaryElizabeth Irene Stone
Brianna Garber
STEPHEN JOSEPH KACH
Jodi Lynn Bukowski
Steven Thomas Hofmann
STEVE H REITER
TYLER CHARLES STORMS

Other Offices

OSAIC WEALTH, INC. · READING, PA
HYPERION FINANCIAL · SHILLINGTON, PA
LPL FINANCIAL LLC · SHILLINGTON, PA
AMERIPRISE FINANCIAL SERVICES, LLC · Reading, PA
WELLS FARGO CLEARING SERVICES, LLC · SHILLINGTON, PA
OSAIC WEALTH, INC. · READING, PA
STATE FARM INVESTMENT MANAGEMENT CORP. · Reading, PA
LPL FINANCIAL LLC · READING, PA

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