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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
MD RA APPROVED 2024-03-21
TX RA APPROVED 2024-03-21
  • MD RA
    APPROVED
    Since 2024-03-21
  • TX RA
    APPROVED
    Since 2024-03-21

Branch Locations

953 Mt Hermon Rd, Salisbury, MD 21804 • 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
Pks Investment Advisors Llc Salisbury MD 11/2012 01/2022
Cfs, Inc. / Comprehensive Financial Solutions, Inc Salisbury MD 01/2022 Present
Cetera Advisors Llc St Cloud MN 01/2022 Present
Cetera Investment Advisers Llc Schaumburg IL 03/2024 Present
Previous Registrations
  • 2012-11-27 → 2022-01-10
    Salisbury, MD
  • 2009-12-22 → 2012-11-19
    Salisbury, MD
    Salisbury, MD
    Salisbury, MD
    Seaford, DE
    Ocean City, MD
    Laurel, DE
    Rehobeth Beach, DE
    Delmar, MD
    Salisbury, MD
    Dagsboro, DE
    Salisbury, MD
    Salisbury, MD
  • 2008-01-01 → 2009-12-22
    Salisbury, MD
  • 2005-09-19 → 2008-01-01
    A. G. Edwards & Sons, Inc.
    Salisbury, MD
    St. Louis, MO
    Salisbury, MD
Other Businesses

1. NAME OF OTHER BUSINESS: CFS, INC. / COMPREHENSIVE FINANCIAL SOLUTIONS, INC INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 01/2022, POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 50, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 2. NAME OF OTHER BUSINESS: CRIMESOLVERS OF THE LOWER EASTERN SHORE INVESTMENT RELATED: NO, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: NON-PROFIT, START DATE: 01/2021, POSITION/TITLE/RELATIONSHIP: PRESIDENT, APX NUMBER OF HOURS PER WEEK: 1, NOT DURING TRADING HOURS BRIEF DESCRIPTION OF DUTIES RUNNING MONTHLY MEETINGS; 3. NAME OF OTHER BUSINESS: QUALITY ADVOCATES, INVESTMENT RELATED: NO, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: HUNTING CLUB, START DATE:05/2022, POSITION/TITLE/RELATIONSHIP: TREASURER, LESS THAN ONE HOUR PER WEEK, NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: GENERAL BOOKKEEPING DUTIES, COLLECT DUES AND PAY FOR ANNUAL LEASE; 4. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 11/2023; APX NUMBER OF HOURS PER WEEK: LESS THAN 1; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, FIXED ANNUITIES, & LONG-TERM CARE;

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2021-10-20
S66 Uniform Combined State Law Examination 2005-09-16
  • S63 Uniform Securities Agent State Law Examination
    2021-10-20
  • S66 Uniform Combined State Law Examination
    2005-09-16
Designations

View on SEC IAPD

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