Howard Genden

Employer firm

Cetera Investment Advisers LLC CRD 105644

$257B regulatory AUM 24,019 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 12/2001 → 06/2018
  American Portfolios Financial Services, Inc.
  Holbrook, NY
• 06/2018 → 02/2019
  North Ridge Securities Corp.
  Melville, NY
• 02/2019 → Present
  Cetera Wealth Services, Llc
  Lynbrook, NY
• 01/2000 → Present
  Pace Financial Services
  Lynbrook, NY
• 06/2023 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2018-06-26 → 2019-02-04
  North Ridge Securities Corp.
  Lynbrook, NY
  Lynbrook, NY
  Melville, NY
• 2007-08-10 → 2018-06-18
  American Portfolios Advisors, Inc
  Holbrook, NY

Other Businesses

1. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 02/2019 APX NUMBER OF HOURS PER WEEK: VARIES APX NUMBER OF HOURS DURING TRADING HOURS: VARIES POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, DISABILITY, ANNUITIES AND LONG-TERM CARE 2. NAME OF OTHER BUSINESS: NORTH RIDGE WEALTH PLANNING LLC INVESTMENT RELATED: YES ADDRESS: 1895 WALT WHITMAN ROAD, Melville, NY 11747 NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 02/2019 POSITION/TITLE/RELATIONSHIP: ADVISOR - FINANCIAL SERVICES APX NUMBER OF HOURS PER WEEK: 20-30 APX NUMBER OF HOURS DURING TRADING HOURS: 20-30 BRIEF DESCRIPTION OF DUTIES: ADVISOR - FINANCIAL SERVICES 3. NAME OF OTHER BUSINESS: PACE FINANCIAL SERVICES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: INSURANCE POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: 5 APX NUMBER OF HOURS DURING TRADING HOURS: 5 BRIEF DESCRIPTION OF DUTIES: OWNER 4. NAME OF OTHER BUSINESS: POHS INSTITUTE INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: CONTINUING EDUCATION/PRE-LICENSING CLASSES; POSITION/TITLE/RELATIONSHIP: INSTRUCTOR; APX NUMBER OF HOURS PER WEEK: 5 APX NUMBER OF HOURS DURING TRADING HOURS: 5 BRIEF DESCRIPTION OF DUTIES: TEACH CONTINUING EDUCATION & PRE-LICENSING CLASSES;

Exams

• S66 Uniform Combined State Law Examination
  2002-11-19
• S63 Uniform Securities Agent State Law Examination
  1994-10-27