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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NJ | RA | APPROVED | 2024-03-21 |
Branch Locations
1540 Highway 138 Ste 303, Wall, NJ 07719 • United States
Manalapan, NJ • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| 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 |
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;
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-04-20 |
| S63 | Uniform Securities Agent State Law Examination | 1993-09-22 |
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