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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 2009-07-22
  • TX RA
    APPROVED
    Since 2009-07-22

Branch Locations

Georgetown, TX • 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
Cetera Financial Specialists Llc Schaumburg IL 08/1991 Present
Cetera Investment Advisers Llc Schaumburg IL 06/1996 Present
Other Businesses

1) NAME OF OTHER BUSINESS: SUN CITY KIWANIS CLUB OF GEORGETOWN, TX; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: BOARD; START DATE: 10/2022; POSITION/TITLE/RELATIONSHIP: TREASURER; APX NUMBER OF HOURS PER WEEK: 4; APX NUMBER OF HOURS DURING TRADING HOURS: 4; BRIEF DESCRIPTION OF DUTIES: COLLECTING ANNUAL DUES, PAYING MONTHLY BILLS, RECONCILING BANK STATEMENTS, & FILING MONTHLY FINANCIAL STATEMENTS;

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-09-25
S63 Uniform Securities Agent State Law Examination 1991-10-07
  • S65 Uniform Investment Adviser Law Examination
    1998-09-25
  • S63 Uniform Securities Agent State Law Examination
    1991-10-07

View on SEC IAPD

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