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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
PA RA APPROVED 2023-08-18
  • PA RA
    APPROVED
    Since 2023-08-18

Branch Locations

1166 Dekalb Pike Suite 112, Blue Bell, PA 19422 • United States

Disclosures

2 disclosure categories 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 Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors, Llc Philadelphia PA 06/2013 11/2016
Wells Fargo Clearing Services, Llc Philadelphia PA 11/2016 08/2023
Cetera Wealth Services, Llc El Segundo CA 08/2023 Present
Cetera Investment Advisers Llc Schaumburg IL 08/2023 Present
Galloway Berkshire Capital Llc Blue Bell PA 08/2023 Present
  • 06/2013 → 11/2016
    Wells Fargo Advisors, Llc
    Philadelphia, PA
  • 11/2016 → 08/2023
    Philadelphia, PA
  • 08/2023 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 08/2023 → Present
    Schaumburg, IL
  • 08/2023 → Present
    Galloway Berkshire Capital Llc
    Blue Bell, PA
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: 01/1992 APX NUMBER OF HOURS PER WEEK: 5 APX NUMBER OF HOURS DURING TRADING HOURS: 1 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS ANNUITIES AND LONG-TERM CARE 2. NAME OF OTHER BUSINESS: GALLOWAY BERKSHIRE CAPITAL LLC INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 08/2023 APX NUMBER OF HOURS PER WEEK: 45 APX NUMBER OF HOURS DURING TRADING HOURS: 45 POSITION/TITLE/RELATIONSHIP: MANAGING DIRECTOR / BUSINESS OWNER BRIEF DESCRIPTION OF DUTIES: FINANCIAL SERVICES , PROVIDING BROKERAGE AND ADVISORY SERVICES

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1992-04-20
  • S63 Uniform Securities Agent State Law Examination
    1992-04-20
Other Names
  • P. Joseph Groarke
  • Joseph Groarke

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