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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
NY RA APPROVED 2021-03-31
  • TX RA
    APPROVED_RES
    Since 2022-11-03
  • NY RA
    APPROVED
    Since 2021-03-31

Branch Locations

120 White Plains Road Suite 403, Tarrytown, NY 10591 • 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 11/2012 09/2022
First Allied Advisory Services, Inc Chesterfield MO 11/2012 11/2020
Premier Wealth Advisors, Llc New York NY 08/2016 07/2024
First Allied Advisory Services Schaumburg IL 11/2020 09/2022
Cetera Investment Advisers Llc New York NY 09/2022 Present
Cetera Advisors Llc New York NY 09/2022 Present
  • 11/2012 → 09/2022
    First Allied Securities, Inc.
    San Diego, CA
  • 11/2012 → 11/2020
    First Allied Advisory Services, Inc
    Chesterfield, MO
  • 08/2016 → 07/2024
    New York, NY
  • 11/2020 → 09/2022
    First Allied Advisory Services
    Schaumburg, IL
  • 09/2022 → Present
    New York, NY
  • 09/2022 → Present
    Cetera Advisors Llc
    New York, NY
Previous Registrations
  • 2017-06-14 → 2024-12-06
    New York, NY
  • 2012-11-26 → 2020-11-12
    First Allied Advisory Services, Inc.
    San Diego, CA
    New York, NY
    New York, NY
  • 2010-05-27 → 2012-11-27
    National Planning Corporation
    Ridgewood, NJ
  • 2010-02-11 → 2010-05-27
    Osaic Fa, Inc.
    Rye Brook, NY
Other Businesses

1. INSURANCE - INDEPENDENT - CONTRACTOR INSURANCE - 8 HOURS PER MONTH - 11/01/2012 2. INTELLECTUAL CAPITAL - EXCHANGE GROUP - OWNER - MARKETING - 40 HOURS PER MONTH - 10/01/2012 3. TORAH BETH SHALOM; BOARD OF TRUSTEES; NONPROFIT ORGANIZATION; START DATE 07/01/2013; 4 HRS. PER MONTH. 4. DAVID A. VOLKMAN; INDEPENDENT CONTRACTOR; AUTHOR/SPEAKER/ENTERTAINER/MEDIA CONTRIBUTOR; START DATE 11/1/2012; 40 HOURS PER MONTH 6. ID 360; Consultant; Consulting ; start date 09/01/2016; 20 hours per month. 7. Granite Ridge Wealth Advisor, LLC; Managing Director; Start Date 02/15/2017; 40 hours per week.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2009-12-30
S63 Uniform Securities Agent State Law Examination 2009-03-16
  • S65 Uniform Investment Adviser Law Examination
    2009-12-30
  • S63 Uniform Securities Agent State Law Examination
    2009-03-16

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