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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
VT RA APPROVED 2023-06-29
  • VT RA
    APPROVED
    Since 2023-06-29

Branch Locations

36 Main St, Bristol, VT 05443 • 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
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
  • 07/2013 → Present
    Bristol Financial Services, Pc
    Bristol, VT
  • 12/2014 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 06/2023 → 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: 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;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-04-12
S63 Uniform Securities Agent State Law Examination 2015-02-25
  • S66 Uniform Combined State Law Examination
    2023-04-12
  • S63 Uniform Securities Agent State Law Examination
    2015-02-25
Other Names
  • Kristine Karen Case

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