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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
CT RA APPROVED 2025-12-08
  • CT RA
    APPROVED
    Since 2025-12-08

Branch Locations

11 Main St Suite 214, Mystic, CT 06355 • 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
Walgreens Pharmacy Uncasville CT 08/2013 04/2019
Valuerx Middletown CT 04/2019 Present
Guided Financial Strategies Llc Mystic CT 01/2020 Present
Cetera Wealth Services, Llc El Segundo CA 12/2025 Present
Cetera Investment Advisers Llc Schaumburg IL 12/2025 Present
  • 08/2013 → 04/2019
    Walgreens Pharmacy
    Uncasville, CT
  • 04/2019 → Present
    Valuerx
    Middletown, CT
  • 01/2020 → Present
    Guided Financial Strategies Llc
    Mystic, CT
  • 12/2025 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 12/2025 → Present
    Schaumburg, IL
Previous Registrations
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: 05/2023 APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 1 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS fixed insurance products 2. NAME OF OTHER BUSINESS: ValueRx INVESTMENT RELATED: no ADDRESS: 54 Tuttle Place, Middletown, ct 06457 NATURE OF BUSINESS: medication delivery START DATE: 07/2021 POSITION/TITLE/RELATIONSHIP: staff pharmacist APX NUMBER OF HOURS PER WEEK: 8 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: Data entry, medication dispensing, healthcare professional consult, inventory management. 3. NAME OF OTHER BUSINESS: Keith's Appliances INVESTMENT RELATED: no ADDRESS: 320 west thames st NATURE OF BUSINESS: retail appliance sales START DATE: 01/2025 POSITION/TITLE/RELATIONSHIP: Board member APX NUMBER OF HOURS PER WEEK: minimal APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: Assess and Discuss business related decisions 4. NAME OF OTHER BUSINESS: Guided Financial Strategies LLC INVESTMENT RELATED: Yes ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: financial services START DATE: 01/2020 POSITION/TITLE/RELATIONSHIP: financial professional APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: financial services

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2020-08-07
S65 Uniform Investment Adviser Law Examination 2019-03-11
  • S63 Uniform Securities Agent State Law Examination
    2020-08-07
  • S65 Uniform Investment Adviser Law Examination
    2019-03-11

View on SEC IAPD

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