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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
NJ RA APPROVED 2024-03-21
  • NJ RA
    APPROVED
    Since 2024-03-21

Branch Locations

1540 Highway 138 Ste 303, Wall, NJ 07719 • United States

Manalapan, NJ • United States

Disclosures

1 disclosure category 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 No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Morgan Stanley Smith Barney Red Bank NJ 06/2009 04/2017
Cetera Advisors Llc Denver CO 04/2017 Present
Safe Harbor Financial Wall NJ 05/2017 Present
Cetera Investment Advisers Llc Schaumburg IL 03/2024 Present
  • 06/2009 → 04/2017
    Morgan Stanley Smith Barney
    Red Bank, NJ
  • 04/2017 → Present
    Cetera Advisors Llc
    Denver, CO
  • 05/2017 → Present
    Safe Harbor Financial
    Wall, NJ
  • 03/2024 → Present
    Schaumburg, IL
Previous Registrations
  • 2009-06-01 → 2017-04-10
    Toms River, NJ
    Red Bank, NJ
    Toms River, NJ
    Red Bank, NJ
    Red Bank, NJ
    Lawrenceville, NJ
  • 2002-05-10 → 2009-06-01
    Red Bank, NJ
    Toms River, NJ
    Hamilton, NJ
    Hamilton, NJ
Other Businesses

1. SAFE HARBOR FINANCIAL, INVESTMENT RELATED, SAME AS REGISTERED LOCATION, FINANCIAL SERVICES, STARTED 5/2017, REGISTERED REPRESENTATIVE APX NUMBER OF HOURS PER WEEK: 40, 32.5 DURING TRADING HOURS BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES. 2.NAME OF OTHER BUSINESS: PRIVETERA WEALTH MANAGEMENT ASSOCIATES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 6/2017 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR BRIEF DESCRIPTION OF DUTIES: PROVIDE FINANCIAL ADVISORY SERVICES; 3. NAME OF OTHER BUSINESS: CO-EXECUTOR FOR FRIEND; INVESTMENT RELATED: NO; ADDRESS: 7 SEYMOUR PL W., ARMONK, NY 10504; NATURE OF BUSINESS: CO-EXECUTOR; START DATE: 12/2025; POSITION/TITLE/RELATIONSHIP: CO-EXECUTOR; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: CO-EXECUTOR FOR FRIEND;

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-04-20
S63 Uniform Securities Agent State Law Examination 1993-09-22
  • S65 Uniform Investment Adviser Law Examination
    1998-04-20
  • S63 Uniform Securities Agent State Law Examination
    1993-09-22
Other Names
  • Deborah Lynn Filion
  • Deborah L Filion
  • Deborah Lynn Phillips

View on SEC IAPD

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