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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 2020-11-12
  • CA RA
    APPROVED
    Since 2020-11-12

Branch Locations

1728 Jefferson Street, Napa, CA 94559 • 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
First Allied Securities, Inc. San Diego CA 10/2006 09/2022
First Allied Advisory Services, Inc. Chesterfield MO 07/2012 11/2020
First Allied Advisory Services Schaumburg IL 11/2020 11/2020
Cetera Advisors Llc Napa CA 09/2022 Present
Cetera Investment Advisers Llc Schaumburg IL 11/2020 Present
  • 10/2006 → 09/2022
    First Allied Securities, Inc.
    San Diego, CA
  • 07/2012 → 11/2020
    First Allied Advisory Services, Inc.
    Chesterfield, MO
  • 11/2020 → 11/2020
    First Allied Advisory Services
    Schaumburg, IL
  • 09/2022 → Present
    Cetera Advisors Llc
    Napa, CA
  • 11/2020 → Present
    Schaumburg, IL
Previous Registrations
  • 2012-07-02 → 2020-11-12
    First Allied Advisory Services, Inc.
    Napa, CA
  • 2006-11-30 → 2012-07-02
    First Allied Securities, Inc.
    Napa, CA
  • 1997-07-08 → 2006-09-22
    A. G. Edwards & Sons, Inc.
    Napa, CA
    Napa, CA
Other Businesses

1.) HARVEST FINANCIAL LLC; 1728 JEFFERSON STREET NAPA CA 94558; REPRESENTATIVE; DBA; START-10/22/06; 25 DAYS A MONTH 2.) NAPA ELKS LODGE #832; TRUSTEE; NON-PROFIT ORGANIZATION; START DATE 04/17/2012; 4 HOURS PER MONTH.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1992-04-13
  • S63 Uniform Securities Agent State Law Examination
    1992-04-13
Other Names
  • Timothy Wayne Horton
  • Timothy Horton

View on SEC IAPD

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