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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
MD RA APPROVED 2024-01-29
  • MD RA
    APPROVED
    Since 2024-01-29

Branch Locations

1000 Bestgate Road, Annapolis, MD 21401 • 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
Metlife Securities Inc Plymouth Meeting PA 08/2011 03/2017
Mass Mutual Hunt Valley MD 07/2016 01/2024
Mml Investors Services, Llc Hunt Valley MD 03/2017 01/2024
Cetera Investment Services Llc St Cloud MN 01/2024 Present
Cetera Investment Advisers Llc Annapolis MD 01/2024 Present
Frist National Bank Of Pa Annapolis MD 01/2024 Present
  • 08/2011 → 03/2017
    Metlife Securities Inc
    Plymouth Meeting, PA
  • 07/2016 → 01/2024
    Mass Mutual
    Hunt Valley, MD
  • 03/2017 → 01/2024
    Hunt Valley, MD
  • 01/2024 → Present
    Cetera Investment Services Llc
    St Cloud, MN
  • 01/2024 → Present
    Annapolis, MD
  • 01/2024 → Present
    Frist National Bank Of Pa
    Annapolis, MD
Previous Registrations
  • 2017-03-25 → 2024-01-31
    Elkridge, MD
    Millersville, MD
    Hunt Valley, MD
  • 2011-08-15 → 2017-03-25
    Msi Financial Services, Inc.
    Elkridge, MD
    Millersville, MD
    Baltimore, MD
  • 2009-09-28 → 2011-02-10
    Columbia, MD
    Brandywine, MD
    Glen Burnie, MD
  • 2003-01-09 → 2009-09-28
    Truist Investment Services, Inc.
    Prince Frederick, MD
    Bowie, MD
    Bowie, MD
    Charlotte Hall, MD
    Laurel, MD
    Bryans Road, MD
    La Plata, MD
    Waldorf, MD
    Waldorf, MD
    Prince Frederick, MD
    La Plata, MD
    Accokeek, MD
    Waldorf, MD
    Waldorf, MD
    Laurel, MD
    Waldorf, MD
    Bryans Road, MD
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-12-19
S65 Uniform Investment Adviser Law Examination 1997-07-31
S63 Uniform Securities Agent State Law Examination 1997-02-06
  • S66 Uniform Combined State Law Examination
    2002-12-19
  • S65 Uniform Investment Adviser Law Examination
    1997-07-31
  • S63 Uniform Securities Agent State Law Examination
    1997-02-06
Other Names
  • Brian Gibbons

View on SEC IAPD

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