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

Branch Locations

New York, NY • 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
Janney Montgomery Scott Llc New York NY 02/2018 03/2021
Jd Mellberg Financial Also Secure Investment Management Divison Tuscon AZ 09/2017 02/2018
Unemployed New York NY 02/2016 09/2017
Cetera Wealth Services, Llc El Segundo CA 04/2021 Present
Cetera Financial Specialists Llc Schaumburg IL 03/2023 Present
Cetera Advisors Llc Greenwood Village CO 03/2023 Present
Cetera Investment Services Llc St Cloud MN 03/2023 Present
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
  • 02/2018 → 03/2021
    New York, NY
  • 09/2017 → 02/2018
    Jd Mellberg Financial Also Secure Investment Management Divison
    Tuscon, AZ
  • 02/2016 → 09/2017
    Unemployed
    New York, NY
  • 04/2021 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 03/2023 → Present
    Cetera Financial Specialists Llc
    Schaumburg, IL
  • 03/2023 → Present
    Cetera Advisors Llc
    Greenwood Village, CO
  • 03/2023 → Present
    Cetera Investment Services Llc
    St Cloud, MN
  • 06/2023 → Present
    Schaumburg, IL
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2018-12-29
S63 Uniform Securities Agent State Law Examination 1991-12-10
  • S65 Uniform Investment Adviser Law Examination
    2018-12-29
  • S63 Uniform Securities Agent State Law Examination
    1991-12-10
Designations
Other Names
  • Lee Maxim
  • Maxim Lee
  • Eysandra Danielle Macim

View on SEC IAPD

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