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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 2024-03-21
TX RA APPROVED_RES 2024-03-21
  • NJ RA
    APPROVED
    Since 2024-03-21
  • TX RA
    APPROVED_RES
    Since 2024-03-21

Branch Locations

333 Bloomfield Ave Suite 202, Caldwell, NJ 07006 • 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 Yes
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Investors Capital Lynnfield MA 05/2005 10/2016
Cetera Advisors Llc Denver CO 10/2016 Present
Cetera Investment Advisers Llc Schaumburg IL 03/2024 Present
  • 05/2005 → 10/2016
    Investors Capital
    Lynnfield, MA
  • 10/2016 → Present
    Cetera Advisors Llc
    Denver, CO
  • 03/2024 → Present
    Schaumburg, IL
Previous Registrations
  • 2005-05-17 → 2016-10-03
    Investors Capital Corp.
    Lynnfield, MA
    Lynnfield, MA
    Montclair, NJ
    Greenville, SC
    Lynnfield, MA
  • 2002-10-04 → 2005-06-09
    National Planning Corporation
    Montclair, NJ
  • 2002-07-18 → 2002-08-28
    Ryan Beck & Co.
    Fort Lee, NJ
Other Businesses

DBA: MURNICK FINANCIAL GROUP 210 BELLEVUE AVE MONTCLAIR NJ 07043 SECURITIES. DBA 2: ATHLETE ADVISORY SERVICES. 210 BELLEVUE AVE, MONTCLAIR NJ 07043***FIXED INSURANCE. MURNICK FINANCIAL GROUP. 210 BELLEVUE AVENUE MONTCLAIR, NJ 07043. INSURANCE SALES, AGENT. 2000. HRS/MONTH: 1 HRS/TRADING: 1***FIXED INSURANCE. ATHLETE ADVISORY SERVICES. 210 BELLEVUE AVENUE MONTCLAIR, NJ 07043. INSURANCE SALES, AGENT. 2013. HRS/MONTH: 1 HRS/TRADING: 1 NAME OF OTHER BUSINESS: MURNICK FINANCIAL GROUP, INVESTMENT RELATED: YES, ADDRESS: 210 BELLEVUE AVE MONTCLAIR NJ 07043, NATURE OF BUSINESS: DBA FOR FINANCIAL SERVICES BUSINESS, START DATE: 2002, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF TRADING HOURS PER WEEK: 32.5, POSITION/TITLE/RELATIONSHIP: PRESIDENT/CEO, BRIEF DESCRIPTION OF DUTIES: DBA;

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1991-06-03
  • S63 Uniform Securities Agent State Law Examination
    1991-06-03
Other Names
  • Rich Murnick

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