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

Branch Locations

2300 First Street Ste 350, Livermore, CA 94550 • United States

Roseville, CA • 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
Cetera Wealth Services, Llc El Segundo CA 03/2016 Present
Gba Wealth Group Concord CA 04/2021 Present
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
  • 03/2016 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 04/2021 → Present
    Gba Wealth Group
    Concord, CA
  • 06/2023 → Present
    Schaumburg, IL
Previous Registrations
  • 2008-08-13 → 2015-12-28
    Cetera Wealth Services, Llc
    Roseville, CA
    Rancho Cordova, CA
    Roseville, CA
  • 2005-09-23 → 2008-08-13
    Pension Planners Securities, Inc.
    Roseville, CA
    Sacramento, CA
    Sacramento, CA
Other Businesses

1. NAME OF OTHER BUSINESS: CO-TRUSTEE, WITH DURABLE POWER OF ATTORNEY INVESTMENT RELATED: YES ADDRESS: 321 GARDEN COURT, ROSEVILLE, CA 95678 NATURE OF BUSINESS: DURABLE POWER OF ATTORNEY FOR FINANCIAL MANAGEMENT AND PERSONAL CARE DECISIONS FOR MOTHER. ALSO CO-TRUSTEE ON MOTHER'S TRUST. START DATE: 12/2015 POSITION/TITLE/RELATIONSHIP: CO-TRUSTEE APX NUMBER OF HOURS PER WEEK: 10 APX NUMBER OF HOURS DURING TRADING HOURS: 10 BRIEF DESCRIPTION OF DUTIES: DURABLE POWER OF ATTORNEY FOR FINANCIAL MANAGEMENT AND PERSONAL CARE DECISIONS FOR MOTHER. ALSO CO-TRUSTEE ON MOTHER'S TRUST. 2. NAME OF OTHER BUSINESS:. JOSEPH FANUCCHI, REGISTERED REP WITH CETERA ADVISOR NETWORKS INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: ASSISTANT START DATE: 12/2017 POSITION/TITLE/RELATIONSHIP: REGISTERED ADMINISTRATIVE ASSISTANT APX NUMBER OF HOURS PER WEEK: 2-10 APX NUMBER OF HOURS DURING TRADING HOURS: 2-10 BRIEF DESCRIPTION OF DUTIES: ORGANIZING AND MAINTAINING BOOKS AND RECORDS, ASSISTING CLIENTS WITH SECURITIES QUESTIONS AND PLANNING, ASSISTING IN CLIENT REVIEW PREP, MAKING TRADES, ALL TO BE DONE AS DIRECTED BY JOSEPH FANUCHI, THE REP OF RECORD 3. NAME OF OTHER BUSINESS: GBA WEALTH GROUP INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 04/2021, POSITION/TITLE/RELATIONSHIP: CLIENT SERVICES MANAGER, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: ASSIST WITH CLIENT SERVICES AND REPORTING, MARKETING AND DAY TO DAY TASKS;

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2005-03-17
S63 Uniform Securities Agent State Law Examination 1993-05-21
  • S65 Uniform Investment Adviser Law Examination
    2005-03-17
  • S63 Uniform Securities Agent State Law Examination
    1993-05-21
Designations
Other Names
  • Pam Rosse
  • Pamela P Monroy
  • Pamela M Pereira

View on SEC IAPD

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