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

Branch Locations

1177 Silas Deane Hwy, Wethersfield, CT 06109 • 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
Mar Lea Golf & Driving Range Bolton CT 03/1986 Present
Mark A Fiano Manchester CT 08/1994 Present
Faneuil, Inc Bristol CT 10/2016 02/2017
Cetera Wealth Services, Llc El Segundo CA 06/2021 Present
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
  • 03/1986 → Present
    Mar Lea Golf & Driving Range
    Bolton, CT
  • 08/1994 → Present
    Mark A Fiano
    Manchester , CT
  • 10/2016 → 02/2017
    Faneuil, Inc
    Bristol, CT
  • 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; 1177 SILAS DEANE HWY; WETHERSFIELD; CT; 6109; FIXED INSURANCE SALES; INDEPENDENT INSURANCE AGENT; 4/11/2006; 160; 160; SALES OF FIXED INSURANCE PRODUCTS 2. NAME OF OTHER BUSINESS: PARAGON FINANCIAL GROUP, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: HEALTH INSURANCE, START DATE: 08/2024, POSITION/TITLE/RELATIONSHIP: HEALTH INSURANCE SPECIALIST, APX NUMBER OF HOURS PER WEEK: 1, APX NUMBER OF HOURS DURING TRADING HOURS: 1, BRIEF DESCRIPTION OF DUTIES: DBA FOR HEALTH INSURANCE;

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-10-11
S63 Uniform Securities Agent State Law Examination 1993-09-17
  • S65 Uniform Investment Adviser Law Examination
    2001-10-11
  • S63 Uniform Securities Agent State Law Examination
    1993-09-17
Other Names
  • Mark A Fiano

View on SEC IAPD

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