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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
CO RA APPROVED 2023-06-29
TX RA APPROVED_RES 2023-06-29
  • CO RA
    APPROVED
    Since 2023-06-29
  • TX RA
    APPROVED_RES
    Since 2023-06-29

Branch Locations

8774 Yates Dr Suite 130, Westminster, CO 80031 • 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
Summit Brokerage Services West Minster CO 08/2015 09/2019
Cetera Wealth Services, Llc El Segundo CA 09/2019 Present
Summit Financial Group Inc West Minster CO 01/2018 05/2021
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
  • 08/2015 → 09/2019
    Summit Brokerage Services
    West Minster, CO
  • 09/2019 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 01/2018 → 05/2021
    Summit Financial Group Inc
    West Minster, CO
  • 06/2023 → Present
    Schaumburg, IL
Previous Registrations
  • 2018-01-29 → 2021-05-20
    Summit Financial Group Inc
    West Minster, CO
Other Businesses

(1) THE FINANCIAL RETIREMENT GROUP INC; INVESTMENT RELATED; SAME ADDRESS AS REGISTERED BRANCH; DBA; TREASURER; 10/06/2015; APPX 2 HOURS/MONTH; APPX 0 HOURS/MONTH DURING TRADING; USE THE DBA TO SIGN CONTRACTS, PAY FEES, AND MONTHLY BILLS (2) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES ; INVESTMENT RELATED: YES ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 01/2021 ; 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, ANNUITIES AND LONG TERM CARE ;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-01-09
S63 Uniform Securities Agent State Law Examination 1990-06-15
  • S66 Uniform Combined State Law Examination
    2018-01-09
  • S63 Uniform Securities Agent State Law Examination
    1990-06-15
Other Names
  • Ben Disalle
  • Benjamin Disalle

View on SEC IAPD

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