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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
TX RA APPROVED_RES 2022-11-03
CA RA APPROVED 2020-11-12
  • TX RA
    APPROVED_RES
    Since 2022-11-03
  • CA RA
    APPROVED
    Since 2020-11-12

Branch Locations

55 New Montgomery St Suite 803, San Francisco, CA 94105 • United States

1294 Kifer Road Suite 707, Sunnyvale, CA 94086 • United States

Los Gatos, 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
First Allied Securities, Inc. San Diego CA 02/2002 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 Sunnyvale CA 09/2022 Present
Kiferline, Llc Sunnyvale CA 06/2023 Present
Cetera Investment Advisers Llc Schaumburg IL 11/2020 Present
  • 02/2002 → 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
    Sunnyvale, CA
  • 06/2023 → Present
    Kiferline, Llc
    Sunnyvale, CA
  • 11/2020 → Present
    Schaumburg, IL
Previous Registrations
  • 2012-07-02 → 2020-11-12
    First Allied Advisory Services, Inc.
    Sunnyvale, CA
    San Francisco, CA
  • 2004-02-05 → 2012-07-02
    First Allied Securities, Inc.
    Sunnyvale, CA
    San Francisco, CA
    Morgan Hill, CA
    Lincoln, CA
Other Businesses

1. JON JOHIRO - INDEPENDENT AGENT / LIFE & DISABILITY AGENT 2. VALEHILL CAPITAL; IC; DBA(ONLY OFFERS FIRST ALLIED PRODUCTS/SERVICES) 3. JON AND CAROLYN JOHIRO LIVING TRUST; TRUSTEE (FIDUCIARY POSITION (TRUSTEE, POA,EXECUTOR,ECT) START DATE; 01/01/2001. 4. THE GELA I. RUSSELL AND STEVEN J. GODWIN REV TRUST UAD 04/09/2021; CO SUCCESSOR TRUSTEE; FIDUCIARY POSITION; START DATE: 12/07/2021; 8 HOURS PER MONTH; 5. NAME OF OTHER BUSINESS: KIFERLINE, LLC INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: COMMERCIAL REAL ESTATE; START DATE: 6/2023; POSITION/TITLE/RELATIONSHIP: OWNER/MANAGER; APX NUMBER OF HOURS PER WEEK: 8; APX NUMBER OF HOURS DURING TRADING HOURS: 8; BRIEF DESCRIPTION OF DUTIES: GENERAL MANAGER FOR COMMERCIAL REAL ESTATE LLC;

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-12-30
S63 Uniform Securities Agent State Law Examination 1993-07-22
  • S65 Uniform Investment Adviser Law Examination
    1999-12-30
  • S63 Uniform Securities Agent State Law Examination
    1993-07-22

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