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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
OH RA APPROVED 2023-06-29
  • OH RA
    APPROVED
    Since 2023-06-29

Branch Locations

110 W Perkins Ave, Sandusky, OH 44870 • 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
Uis Insurance & Investments Sandusky OH 05/2012 Present
Voya Financial Advisors Sandusky OH 09/2014 06/2021
Cetera Wealth Services, Llc El Segundo CA 06/2021 Present
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
  • 05/2012 → Present
    Uis Insurance & Investments
    Sandusky, OH
  • 09/2014 → 06/2021
    Voya Financial Advisors
    Sandusky, OH
  • 06/2021 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 06/2023 → Present
    Schaumburg, IL
Previous Registrations
Other Businesses

1. NAME OF ENTITY: INDEPENDENT INSURANCE AGENT; Yes; 110 W PERKINS AVE; SANDUSKY; OH; 44870; FIXED INSURANCE SALES; INDEPENDENT INSURANCE AGENT; 4/12/2013; 160; 110; FIXED INSURANCE SALES PRODUCTS 2. NAME OF ENTITY: UIS INSURANCE & INVESTMENTS; Yes; 110 W PERKINS AVE; SANDUSKY; OH; 44870; FINANCIAL SERVICES/DBA; SENIOR ACCOUNT EXECUTIVE; 5/1/2012; 160; 110; INSURANCE & INVESTMENT SALES AND SERVICE 3. NAME OF ENTITY: Mesenburg Farms; No; 1107 Wyndham Ln.; Sandusky; OH; 44870; Grain Farm; Operator; 7/1/2019; 1; 0; Operation of small family grain farm. 4. NAME OF ENTITY: W.C. Felton Agency; No; 51 S. Washington St.; Tiffin; OH; 44883; Shareholder of W.C. Felton Agency DBA UIS Insurance & Investements; Shareholder; 2/14/2018; 160; 160; Shareholder and Independent Insurance Agent|

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2005-09-30
S63 Uniform Securities Agent State Law Examination 2005-09-23
  • S65 Uniform Investment Adviser Law Examination
    2005-09-30
  • S63 Uniform Securities Agent State Law Examination
    2005-09-23

View on SEC IAPD

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