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Employer firm

Cetera Investment Advisers LLC CRD 105644

$257B regulatory AUM 24,019 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Educational seminars

From the firm’s Form ADV. Read the guides:

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

Branch Locations

213 White Horse Pike, Haddon Heights, NJ 08035 • 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 09/2013 Present
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
Previous Registrations
  • 2010-02-19 → 2013-11-13
    Camp Hill, PA
  • 2003-08-01 → 2013-09-03
    Walnut Street Securities, Inc.
    Cherryhill, NJ
    Haddon Heights, NJ
    Cherry Hill, NJ
    Haddon Heights, NJ
  • 2001-10-31 → 2003-08-01
    Nathan & Lewis Securities, Inc.
    Cherry Hill, NJ
Other Businesses

1) INDEPENDENT INSURANCE AGENT DISABILITY, FIXED ANNUITIES, LIFE/ACCIDENT/HEALTH, LONG-TERM CARE FOR 8HRS/WK SINCE 1990 2) CAM HOLDINGS, LLC OWN A COMMERCIAL BUILDING WITH MY OFFICE IN IT AND RENT THE SECOND FL FOR 0HRS/WK SINCE 04/2009 3) CRUMP 20% OF ALL TERM AND FIXED ANNUITY CASES FOR 3HRS/WK SINCE 01/2010 4) NAME OF OTHER BUSINESS: SCOTT A WIGHT, LLC; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: DBA FOR PAYROLL AND BILL PAY PURPOSES; START DATE: 02/2001; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: NONE; APX NUMBER OF HOURS DURING TRADING HOURS: NONE; BRIEF DESCRIPTION OF DUTIES: DBA FOR PAYROLL AND BILL PAY PURPOSES ; 5) NAME OF OTHER BUSINESS: HEIGHTS FINANCIAL GROUP ; INVESTMENT RELATED: YES ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: FINANCIAL SERVICES ; START DATE: 12/2019 ; POSITION/TITLE/RELATIONSHIP: OWNER / FINANCIAL ADVISOR ; APX NUMBER OF HOURS PER WEEK: 40 ; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 ; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES ;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-04-03
S63 Uniform Securities Agent State Law Examination 1990-11-21
  • S66 Uniform Combined State Law Examination
    2002-04-03
  • S63 Uniform Securities Agent State Law Examination
    1990-11-21
Designations
  • Certified Financial Planner

View on SEC IAPD

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