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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
NJ RA APPROVED 2025-01-22
  • NJ RA
    APPROVED
    Since 2025-01-22

Branch Locations

Red Bank, NJ • United States

125 Half Mile Road, Ste. 200, Red Bank, NJ 07701 • 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
The Investment Center, Inc. Red Bank NJ 09/2007 01/2025
I C Advisory Services, Inc. Red Bank NJ 10/2007 01/2025
Forward Capital Management, Llc Red Bank NJ 09/2007 Present
Cetera Advisors Llc St Cloud MN 01/2025 Present
Cetera Investment Advisers Llc Schaumburg IL 01/2025 Present
  • 09/2007 → 01/2025
    The Investment Center, Inc.
    Red Bank, NJ
  • 10/2007 → 01/2025
    I C Advisory Services, Inc.
    Red Bank, NJ
  • 09/2007 → Present
    Forward Capital Management, Llc
    Red Bank, NJ
  • 01/2025 → Present
    Cetera Advisors Llc
    St Cloud, MN
  • 01/2025 → Present
    Schaumburg, IL
Previous Registrations
  • 2007-10-03 → 2025-01-22
    Ic Advisory Services, Inc.
    Red Bank, NJ
    Bedminster, NJ
  • 2002-06-20 → 2007-10-02
    Red Bank, NJ
    Red Bank, NJ
    Red Bank, NJ
Other Businesses

1. NAME OF OTHER BUSINESS: FORWARD CAPITAL MANAGEMENT, LLC INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 09/2007 POSITION/TITLE/RELATIONSHIP: PRESIDENT APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: PROVIDE FINANCIAL SERVICES; 2. NAME OF OTHER BUSINESS: AMERICAN HEALTH REVOLUTION; INVESTMENT RELATED: NO; ADDRESS: SAME AS RESIDENTIAL LOCATION; NATURE OF BUSINESS: BOARD; START DATE: 4/2025; POSITION/TITLE/RELATIONSHIP: DIRECTOR & CO-FOUNDER; APX NUMBER OF HOURS PER WEEK: 12; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1; BRIEF DESCRIPTION OF DUTIES: PARTICIPATING IN MEETINGS, DETERMINING MESSAGING AND CONTENT RELATED TO OUR ORGANIZATION'S MISSION, ORGANIZING VOLUNTEERS, AND ENSURING THAT OUR MESSAGE ADHERES TO OUR CODE OF CONDUCT;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-10-02
S63 Uniform Securities Agent State Law Examination 1990-09-28
  • S66 Uniform Combined State Law Examination
    2007-10-02
  • S63 Uniform Securities Agent State Law Examination
    1990-09-28

View on SEC IAPD

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