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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
PA RA APPROVED 2024-03-21
TX RA APPROVED_RES 2024-03-21
  • PA RA
    APPROVED
    Since 2024-03-21
  • TX RA
    APPROVED_RES
    Since 2024-03-21

Branch Locations

3875 Franklintowne Ct Ste 130, Murrysville, PA 15668 • United States

Disclosures

3 disclosure categories 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 Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien Yes
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Lpl Financial Llc Murrysville PA 07/2001 04/2021
Cetera Advisors Llc St. Cloud MN 04/2021 Present
The Advisors, Llc Murrysville PA 12/2005 Present
Cetera Investment Advisers Llc Schaumburg IL 03/2024 Present
Previous Registrations
  • 2018-07-18 → 2021-04-22
    Lower Burrell, PA
    Pittsburgh, PA
    Pittsburgh, PA
    Pittsburgh, PA
    Parnassus, PA
    Murrysville, PA
    Moon Township, PA
    New Albany, OH
    Pittsburgh, PA
    Pasadena, CA
    Bridgeville, PA
  • 2001-10-17 → 2011-09-26
    The Advisors Llc
    Murrysville, PA
Other Businesses

1. THE ADVISORS, LLC, INVESTMENT RELATED, SAME AS REGISTERED LOCATION, FINANCIAL SERVICES, STARTED 12/2005, OWNER, APX NUMBER OF HOURS PER WEEK: 40, 32.5 DURING TRADING HOURS BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 2. FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED, SAME AS REGISTERED LOCATION, FIXED INSURANCE, START DATE 03/1992, INSURANCE AGENT, APX NUMBER OF HOURS PER WEEK: VARIES, APX NUMBER OF HOURS DURING TRADING HOURS: VARIES, SELLS LIFE, HEALTH, DISABILITY, AND LONG-TERM CARE 3. BRIAN AND LINDA DAVIS, NOT INVESTMENT RELATED, SAME AS REGISTERED LOCATION, OFFICE BUILDING, STARTED 05/2005, POSITION/TITLE/RELATIONSHIP: OWNER, APX 1 HOUR PER WEEK, MAY BE DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES;

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-12-28
S63 Uniform Securities Agent State Law Examination 1994-03-25
  • S65 Uniform Investment Adviser Law Examination
    1999-12-28
  • S63 Uniform Securities Agent State Law Examination
    1994-03-25

View on SEC IAPD

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