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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
TX RA APPROVED 2024-05-20
TN RA APPROVED 2023-01-31
  • TX RA
    APPROVED
    Since 2024-05-20
  • TN RA
    APPROVED
    Since 2023-01-31

Branch Locations

2901 Essary Drive, Knoxville, TN 37918 • 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
Allianz Global Investors Distributors Llc New York NY 06/2013 09/2022
Regions Bank Knoxville TN 10/2022 Present
Cetera Investment Services Llc Knoxville TN 10/2022 Present
Cetera Investment Advisers Llc Knoxville TN 01/2023 Present
  • 06/2013 → 09/2022
    Allianz Global Investors Distributors Llc
    New York, NY
  • 10/2022 → Present
    Regions Bank
    Knoxville, TN
  • 10/2022 → Present
    Cetera Investment Services Llc
    Knoxville, TN
  • 01/2023 → Present
    Knoxville, TN
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2023-01-27
S63 Uniform Securities Agent State Law Examination 2005-08-19
  • S65 Uniform Investment Adviser Law Examination
    2023-01-27
  • S63 Uniform Securities Agent State Law Examination
    2005-08-19

View on SEC IAPD

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