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

Branch Locations

63 E Genesee St, Baldwinsville, NY 13027 • 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
Cadaret, Grant & Co., Inc. Syracuse NY 09/2012 12/2021
Horan Wealth Management Baldwinsville NY 12/2021 Present
Cetera Wealth Services, Llc El Segundo CA 01/2022 Present
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
  • 09/2012 → 12/2021
    Cadaret, Grant & Co., Inc.
    Syracuse, NY
  • 12/2021 → Present
    Horan Wealth Management
    Baldwinsville, NY
  • 01/2022 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 06/2023 → Present
    Schaumburg, IL
Other Businesses

1. NAME OF OTHER BUSINESS: HORAN WEALTH MANAGEMENT; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: WEALTH MANAGEMENT / FINANCIAL SERVICES; START DATE: 01/2022; POSITION/TITLE/RELATIONSHIP: OPERATIONS MANAGER; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 40; BRIEF DESCRIPTION OF DUTIES: DAY TO DAY FIRM OPERATIONS; 2. NAME OF OTHER BUSINESS: UNITED STATES SOCCER FEDERATION REFEREE; INVESTMENT RELATED: NO; ADDRESS: PO BOX 1014 WEBSTER, NY 14580; NATURE OF BUSINESS: SOCCER OFFICIATING; START DATE: 03/2025; POSITION/TITLE/RELATIONSHIP: SOCCER REFEREE; APX NUMBER OF HOURS PER WEEK: 3; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: REFEREEING LOCAL SOCCER GAMES;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-02-25
  • S66 Uniform Combined State Law Examination
    2022-02-25
Other Names
  • Neil Alexander Pecka

View on SEC IAPD

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