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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
NJ RA APPROVED 2024-03-22
  • NJ RA
    APPROVED
    Since 2024-03-22

Branch Locations

23 Brunswick Woods Ddr, East Brunswick, NJ 08816 • 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
Brunswick Wealth Management, Llc East Brunswick NJ 03/2007 Present
Sii Investments, Inc. East Brunswick NJ 12/2008 Present
Cetera Advisors Llc Denver CO 12/2017 Present
Cetera Investment Advisers Llc Schaumburg IL 03/2024 Present
  • 03/2007 → Present
    Brunswick Wealth Management, Llc
    East Brunswick, NJ
  • 12/2008 → Present
    Sii Investments, Inc.
    East Brunswick, NJ
  • 12/2017 → Present
    Cetera Advisors Llc
    Denver, CO
  • 03/2024 → Present
    Schaumburg, IL
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: 11/2017; POSITION/TITLE/RELATIONSHIP: AGENT; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 2; BRIEF DESCRIPTION OF DUTIES: SELLING LIFE & ANNUITIES; (2) NAME OF OTHER BUSINESS: BRUNSWICK WEALTH MANAGEMENT LLC INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: TAX & ACCOUNTING, FINANCIAL SERVICES & FIXED INSURANCE START DATE: 5/2017 POSITION/TITLE/RELATIONSHIP: PRESIDENT APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: SOLICITATION AND SERVICE OF SECURITIES & INSURANCE, TAX PREP, ACCOUNTING & PAYROLL. (3) NAME OF OTHER BUSINESS: PROFESSIONAL PLANNING ASSOCIATES, INC. INVESTMENT RELATED: YES; ADDRESS: REGISTERED LOCATION - 23 BRUNSWICK WOODS DR, EAST BRUNSWICK, NJ 08816 / NON REGISTERED APPOINTMENT ONLY LOCATION - 400 MARKET STREET SUITE 360, PHILADELPHIA, PA 19106; NATURE OF BUSINESS: INSURANCE & FINANCIAL SERVICES; START DATE: 07/2019; POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5' BRIEF DESCRIPTION OF DUTIES: INSURANCE & FINANCIAL SERVICES; (4) NAME OF OTHER BUSINESS: 420 MAIN STREET PARTNERS INC ; INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: S-CORP ; START DATE: 05/2016 ; POSITION/TITLE/RELATIONSHIP: OWNER / PRESIDENT ; APX NUMBER OF HOURS PER WEEK: MINIMAL ; APX NUMBER OF HOURS DURING TRADING HOURS: MINIMAL ; BRIEF DESCRIPTION OF DUTIES: PASS THROUGH ENTITY FOR TAX PURPOSES ;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-06-18
S63 Uniform Securities Agent State Law Examination 1992-12-09
  • S66 Uniform Combined State Law Examination
    2019-06-18
  • S63 Uniform Securities Agent State Law Examination
    1992-12-09

View on SEC IAPD

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