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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
CA RA APPROVED 2025-09-16
TX RA APPROVED 2025-09-16
  • CA RA
    APPROVED
    Since 2025-09-16
  • TX RA
    APPROVED
    Since 2025-09-16

Branch Locations

San Diego, CA • 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 No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Lpl Financial Llc (Formerly: Linsco/Private Ledger Corp.) San Diego CA 12/2003 09/2025
Rmw Consulting San Diego CA 11/2003 Present
Cetera Wealth Services, Llc El Segundo CA 09/2025 Present
Cetera Investment Advisers Llc Schaumburg IL 09/2025 Present
  • 12/2003 → 09/2025
    Lpl Financial Llc (Formerly: Linsco/Private Ledger Corp.)
    San Diego, CA
  • 11/2003 → Present
    Rmw Consulting
    San Diego, CA
  • 09/2025 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 09/2025 → Present
    Schaumburg, IL
Previous Registrations
Other Businesses

1. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 04/1991 APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 0 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS FIXED INSURANCE PRODUCTS 2. NAME OF OTHER BUSINESS: RMW CONSULTING INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 11/2003 POSITION/TITLE/RELATIONSHIP: PRESIDENT APX NUMBER OF HOURS PER WEEK: 25 APX NUMBER OF HOURS DURING TRADING HOURS: 25 BRIEF DESCRIPTION OF DUTIES: PROVIDE FINANCIAL SERVICES 3. NAME OF OTHER BUSINESS: ADVISORS CHOICE INSURANCE BROKERAGE SERVICES INVESTMENT RELATED: NO ADDRESS: 515 MARIN STREET SUITE 414 THOUSAND OAKS, CA 91360 NATURE OF BUSINESS: FIXED INSURANCE START DATE: 2/2025 POSITION/TITLE/RELATIONSHIP: BOARD MEMBER APX NUMBER OF HOURS PER WEEK: 0 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: CONSULTANT

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2005-11-28
S63 Uniform Securities Agent State Law Examination 1991-10-07
  • S65 Uniform Investment Adviser Law Examination
    2005-11-28
  • S63 Uniform Securities Agent State Law Examination
    1991-10-07

View on SEC IAPD

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