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Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| VT | RA | APPROVED | 2023-06-29 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Bristol Financial Services, Pc | Bristol | VT | 07/2013 | Present |
| Cetera Wealth Services, Llc | El Segundo | CA | 12/2014 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 06/2023 | Present |
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: 07/14/2016; APX NUMBER OF HOURS PER WEEK: 2 HOURS; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, ANNUITIES, AND LONG TERM CARE. 2. NAME OF OTHER BUSINESS: BRISTOL FINANCIAL SERVICES, PC; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 07/01/2013; POSITION/TITLE/RELATIONSHIP: REGISTERED REPRESENTATIVE; APX NUMBER OF HOURS PER WEEK: 40 HOURS; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 HOURS; BRIEF DESCRIPTION OF DUTIES: REGISTERED REPRESENTATIVE. 3. NAME OF OTHER BUSINESS: MOUNT ABRAHAM UNIFIED SCHOOL DISTRICT; INVESTMENT RELATED: NO; ADDRESS: 72 MUNSILL AVE SUITE 601 BRISTOL, VT 05443; NATURE OF BUSINESS: BOARD; START DATE: 01/2025; POSITION/TITLE/RELATIONSHIP: BOARD TREASURER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: VERIFY CHECKS VS INVOICES FOR ACCURACY BEFORE PAYMENT;
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2023-04-12 |
| S63 | Uniform Securities Agent State Law Examination | 2015-02-25 |
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