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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| OR | RA | APPROVED | 2024-03-21 |
| TX | RA | APPROVED_RES | 2024-03-21 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Cetera Advisors Llc | Denver | CO | 01/2013 | Present |
| Blue Mountain Investment Management, Llc | Heppner | OR | 11/2008 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 03/2024 | Present |
1. INSURANCE, 51353 SUNFLOWER FLAT ROAD, HEPPNER, OR 97836. 2. HEPPNER CHAMBER OF COMMERCE, START 06/20/2011, MEMBER, 1HR/WK. 3.ST PATRICK CATHOLIC CHURCH OF HEPPNER, NOT INVESTMENT RELATED, 525 NORTH GALE STREET, HEPPNER, OR 97838, START 7/26/2013, LESS THAN 1 HOUR PER MONTH, NOT DURING TRADING HOURS, FINANCE COMMITTEE MEMBER. 4. NAME OF OTHER BUSINESS: SPIRITUAL EXERCISES IN EVERDAY LIFE (SEEL) TRI-CITIES; INVESTMENT RELATED: NO; ADDRESS: 146 WEST HILLS WAY, KENNEWICK WA 99352; NATURE OF BUSINESS: RELIGIOUS ORGANIZATION; START DATE: 08/2018; POSITION/TITLE/RELATIONSHIP: MEMBER / SPIRITUAL DIRECTOR; APX NUMBER OF HOURS PER WEEK: 2-4; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES; BRIEF DESCRIPTION OF DUTIES: HELP WITH MONTHLY RETREAT, PROVIDE SPIRITUAL DIRECTION, HELP WITH OTHER ACTIVITIES; 5. ST PATRICK CATHOLIC CHURCH OF HEPPNER, NOT INVESTMENT RELATED, 525 NORTH GALE STREET, HEPPNER, OR 97838, START 9/15/2013, 3 HOUR PER WEEK, NOT DURING TRADING HOURS, TEACH CATHOLIC RELIGIOUS EDUCATION TO ELEMENTARY AGE STUDENTS. 6. BLUE MOUNTAIN COMMUNITY COLLEGE, NOT INVESTMENT RELATED, 975 E COLUMBIA DRIVE, HERMISTON, OR 97838, START 09/30/2013, 2 HOURS PER WEEK FOR 9 WEEKS - NOT DURING TRADING HOURS, VOLUNTEER TEACHER - ON RETIREMENT PLANNING AND INVESTMENTS. 7. HEPPNER HIGH SCHOOL, NOT INVESTMENT RELATED, 710 MORGAN ST, HEPPNER, OR 97836, HIGH SCHOOL VOLUNTEER AND TUTOR, START SEPTEMBER 2014, 4 HOURS PER WEEK ; VARIES DURING TRADING HOURS, VOLUNTEER PRESENTER ON CAREERS ALTERNATIVES IN THE FINANCIAL INDUSTRY AND FINANCIAL LITERACY TOPICS. 8. FINANCIAL BEGINNINGS; NOT INVESTMENT RELATED; 9600 SW CAPITAL HWY, SUITE 150, PORTLAND, OR, 97836; FINANCIAL LITERACY/EDUCATION; START 9/2014; 1.5 HOURS/WEEK AFTER TRADING HOURS; VOLUNTEER TEACHER; 9. NAME OF OTHER BUSINESS: DBA BLUE MOUNTAIN INVESTMENT MANAGEMENT, LLC; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 11/18/2008; POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR; APX NUMBER OF HOURS PER WEEK: 25-40 HOURS; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES; BRIEF DESCRIPTION OF DUTIES: DBA FOR SECURITIES BUSINESS. 10.NAME OF OTHER BUSINESS: INTERNATIONAL WOMENS FORUM; INVESTMENT RELATED: NO; ADDRESS:1155 15TH ST NW, STE 1000 WASHINGTON, DC 20005; NATURE OF BUSINESS: WOMENS ORGANIZATION; START DATE: 2/2022; POSITION/TITLE/RELATIONSHIP: MEMBER ; APX NUMBER OF HOURS PER WEEK: VARIES; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES ; BRIEF DESCRIPTION OF DUTIES: WORK TO ADVANCE WOMENS LEADERSHIP AND EQUALITY WORLDWIDE; 11. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FIXED INSURANCE, START DATE: 07/2023, APX NUMBER OF HOURS PER WEEK: VARIES, APX NUMBER OF HOURS DURING TRADING HOURS: VARIES, POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT , BRIEF DESCRIPTION OF DUTIES: SELLS FIXED ANNUITIES AND LONG-TERM CARE
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2004-03-19 |
| S63 | Uniform Securities Agent State Law Examination | 1990-10-26 |
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