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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
CA RA APPROVED 2023-06-29
  • CA RA
    APPROVED
    Since 2023-06-29

Branch Locations

25500 Hawthorne Blvd Ste 1140, Torrance, CA 90505 • United States

Torrance, CA • 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
Cetera Wealth Services, Llc El Segundo CA 01/2013 Present
Westhill, Lmt Los Angeles CA 01/2021 Present
821 East Chestnut, Llc Glendale CA 01/2021 Present
Vista Verdugo Apartments, Lp Glendale CA 01/2021 Present
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
  • 01/2013 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 01/2021 → Present
    Westhill, Lmt
    Los Angeles, CA
  • 01/2021 → Present
    821 East Chestnut, Llc
    Glendale, CA
  • 01/2021 → Present
    Vista Verdugo Apartments, Lp
    Glendale, CA
  • 06/2023 → Present
    Schaumburg, IL
Previous Registrations
  • 2006-06-16 → 2007-04-13
    National Planning Corporation
    Torrance, CA
    Torrance, CA
Other Businesses

1) SALE OF FIXED INSURANCE (ANNUITIES). 2) NAME OF OTHER BUSINESS: WESTHILL, LMT. INVESTMENT RELATED: NO, ADDRESS: 519 GLENROCK, LOS ANGELES, CA, 90024, NATURE OF BUSINESS: REAL ESTATE, START DATE: 01/2021, POSITION/TITLE/RELATIONSHIP: MINORITY OWNER, LESS THAN ONE HOUR PER WEEK, NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: RECEIVES ANNUAL DISTRIBUTIONS FOR INCOME PROPERTY; 3) NAME OF OTHER BUSINESS: 821 EAST CHESTNUT, LLC, INVESTMENT RELATED: NO, ADDRESS: 821 EAST CHESTNUT, GLENDALE, CA, 21205, NATURE OF BUSINESS: REAL ESTATE, START DATE: 01/2021, POSITION/TITLE/RELATIONSHIP: MINORITY OWNER, LESS THAN ONE HOUR PER WEEK, NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: RECEIVES ANNUAL DISTRIBUTIONS FOR INCOME PROPERTY; 4) NAME OF OTHER BUSINESS: VISTA VERDUGO APARTMENTS, LP, INVESTMENT RELATED: NO, ADDRESS: 1617 CALLE VAQUERO, GLENDALE, CA, 21206, NATURE OF BUSINESS: REAL ESTATE, START DATE: 01/2021, POSITION/TITLE/RELATIONSHIP: MINORITY OWNER, LESS THAN ONE HOUR PER WEEK, NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: RECEIVES ANNUAL DISTRIBUTIONS FOR INCOME PROPERTY;

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-06-08
S63 Uniform Securities Agent State Law Examination 2005-08-19
  • S65 Uniform Investment Adviser Law Examination
    2006-06-08
  • S63 Uniform Securities Agent State Law Examination
    2005-08-19
Other Names
  • David Brown

View on SEC IAPD

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