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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
TN RA APPROVED 2024-08-08
TX RA APPROVED 2024-08-07
  • TN RA
    APPROVED
    Since 2024-08-08
  • TX RA
    APPROVED
    Since 2024-08-07

Branch Locations

280 Hernando Street 2Nd Floor, Memphis, TN 38126 • 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
Kovack Securities, Inc. Fort Lauderdale FL 09/2002 08/2024
Kovack Advisors, Inc. Ft. Lauderdale FL 08/2006 08/2024
Cetera Advisors Llc St Cloud MN 08/2024 Present
Cetera Investment Advisers Llc Schaumburg IL 08/2024 Present
Previous Registrations
  • 2006-08-15 → 2024-08-08
    Ft. Lauderdale, FL
    Ft. Lauderdale, FL
    Memphis, TN
  • 2004-09-01 → 2006-08-15
    Kovack Securities Inc.
    Ft. Lauderdale, FL
    Memphis, TN
    Russell Springs, KY
Other Businesses

1.NAME OF OTHER BUSINESS: FIXED INSURANCE INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: INSURANCE START DATE: 07/1994 APX NUMBER OF HOURS PER WEEK: 5 APX NUMBER OF HOURS DURING TRADING HOURS: 1 POSITION/TITLE/RELATIONSHIP: AGENT BRIEF DESCRIPTION OF DUTIES: INSURANCE SERVICES 2. NAME OF OTHER BUSINESS: JONES WEALTH MANAGEMENT GROUP INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED ADRESS NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 05/2001 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR BRIEF DESCRIPTION OF DUTIES: PROVIDING FINANCIAL SERVICES TO CLIENTS 3. NAME OF OTHER BUSINESS: MEMPHIS ROCK-N-SOUL MUSEUM INVESTMENT RELATED: NO ADDRESS: 191 BEALE ST MEMPHIS, TN 38103 NATURE OF BUSINESS: COMMUNITY SERVICE START DATE:01/2014 APX NUMBER OF HOURS PER WEEK: .5 APX NUMBER OF HOURS DURING TRADING HOURS: .5 POSITION/TITLE/RELATIONSHIP: BOARD MEMBER BRIEF DESCRIPTION OF DUTIES: OVERSIGHT 4. NAME OF OTHER BUSINESS: HOWARD UNIVERSITY ALUMNI CLUB OF GREATER MEMPHIS INVESTMENT RELATED: NO ADDRESS: 2400 6TH STREET, NW WASHINGTON DC 20059 NATURE OF BUSINESS: COMMUNITY SERVICE START DATE: 01/2023 APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 0 POSITION/TITLE/RELATIONSHIP: TREASURER BRIEF DESCRIPTION OF DUTIES: REPORT ON FINANCIAL TRANSACTIONS OF ORGANIZATION 5. NAME OF OTHER BUSINESS: SIGMA PI PHI FRATERNITY INVESTMENT RELATED: NO ADDRESS: 1450 POPLAR AVENUE MEMPHIS, TN 38104 NATURE OF BUSINESS: COMMUNITY SERVICE START DATE: 01/2024 APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 0 POSITION/TITLE/RELATIONSHIP: TREASURER BRIEF DESCRIPTION OF DUTIES: REPORT ON FINANCIAL TRANSACTIONS OF ORGANIZATION; 6. NAME OF OTHER BUSINESS: COMMUNITY LEGAL CENTER, INVESTMENT RELATED: NO, ADDRESS: 80 MONROE AVENUE, STE. 415, MEMPHIS, TN 38013, NATURE OF BUSINESS: NON-PROFIT, START DATE: 10/2025, POSITION/TITLE/RELATIONSHIP: BOARD MEMBER, APX NUMBER OF HOURS PER WEEK: 1, APX NUMBER OF HOURS DURING TRADING HOURS: 1, BRIEF DESCRIPTION OF DUTIES: SERVING ON THE BOARD OF DIRECTORS FOR THE NON-PROFIT ORGANIZATION PROVIDING OVERSIGHT AND GOVERNANCE DUTIES;

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2004-08-31
S66 Uniform Combined State Law Examination 2000-07-01
S63 Uniform Securities Agent State Law Examination 1994-06-15
  • S65 Uniform Investment Adviser Law Examination
    2004-08-31
  • S66 Uniform Combined State Law Examination
    2000-07-01
  • S63 Uniform Securities Agent State Law Examination
    1994-06-15

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