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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
GA RA APPROVED 2023-03-22
  • TX RA
    APPROVED_RES
    Since 2023-06-29
  • GA RA
    APPROVED
    Since 2023-03-22

Branch Locations

200 Main Street Suite 200, Gainesville, GA 30501 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Preferred Capital Management, L.L.C. Duluth GA 05/2001 Present
Voya Financial Advisors Duluth GA 09/2014 06/2021
Cetera Wealth Services, Llc El Segundo CA 06/2021 Present
Cetera Investment Advisers Llc Schaumburg IL 03/2023 Present
Cetera Investment Advisers Llc Duluth GA 06/2023 Present
  • 05/2001 → Present
    Preferred Capital Management, L.L.C.
    Duluth, GA
  • 09/2014 → 06/2021
    Voya Financial Advisors
    Duluth, GA
  • 06/2021 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 03/2023 → Present
    Schaumburg, IL
  • 06/2023 → Present
    Duluth, GA
Previous Registrations
Other Businesses

1) NAME OF ENTITY: Preferred Capital Management, LLC; Yes; 6340 SUGARLOAF PKWY STE 200; DULUTH; GA; 30097; financial services; president; 5/1/2001; 160; 160; sales of fixed insurance and securities products| 2) NAME OF ENTITY: INDEPENDENT INSURANCE AGENT; Yes; 6340 SUGARLOAF PKWY STE 200; DULUTH; GA; 30097; FIXED INSURANCE SALES; INDEPENDENT INSURANCE AGENT; 5/28/2009; 160; 160; SALES OF FIXED INSURANCE PRODUCTS| 3) NAME OF OTHER BUSINESS: MICHAEL D STEPHENS MEMORIAL FOUNDATION INC; INVESTMENT RELATED: NO; ADDRESS: 6340 SUGARLOAF PKWY SUITE 200 DULUTH, GA 30097; NATURE OF BUSINESS: FOUNDATION BOARD; START DATE: 02/2024; POSITION/TITLE/RELATIONSHIP: SECRETARY; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: RECORD MINUTES OF BOARD MEETINGS;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-01-09
S63 Uniform Securities Agent State Law Examination 1990-01-10
  • S66 Uniform Combined State Law Examination
    2002-01-09
  • S63 Uniform Securities Agent State Law Examination
    1990-01-10
Designations

View on SEC IAPD

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