Best Investors Account Sign in
Current Employers
Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2021-09-10
CA RA APPROVED 2020-11-12
  • TX RA
    APPROVED_RES
    Since 2021-09-10
  • CA RA
    APPROVED
    Since 2020-11-12

Branch Locations

915 Highland Pointe Dr Suite #250, Roseville, CA 95678 • United States

1817 Maryal Drive Suite 100, Sacramento, CA 95864 • 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
First Allied Securities, Inc. San Diego CA 12/1994 09/2022
Finra Roseville CA 10/1997 Present
Sierra College Roseville CA 08/1998 06/2023
First Allied Advisory Services, Inc. Chesterfield MO 07/2012 11/2020
Cetera Investment Advisers Llc Schaumburg IL 11/2020 Present
Cetera Advisors Llc Sacramento CA 09/2022 Present
  • 12/1994 → 09/2022
    First Allied Securities, Inc.
    San Diego, CA
  • 10/1997 → Present
    Finra
    Roseville, CA
  • 08/1998 → 06/2023
    Sierra College
    Roseville, CA
  • 07/2012 → 11/2020
    First Allied Advisory Services, Inc.
    Chesterfield, MO
  • 11/2020 → Present
    Schaumburg, IL
  • 09/2022 → Present
    Cetera Advisors Llc
    Sacramento, CA
Previous Registrations
  • 2012-07-02 → 2020-11-12
    First Allied Advisory Services, Inc.
    Sacramento, CA
    Roseville, CA
  • 1997-07-08 → 2012-07-02
    First Allied Securities, Inc.
    Roseville, CA
    Sacramento, CA
    Sacramento, CA
Other Businesses

1.)FINRA; ARBITRATION; START DATE:10/01/1997. 2.)SACRAMENTO SENATOR LIONS CLUB; MEMBER; NON-PROFIT ORGANIZATION; START DATE:1/1/1991. 3.)CAPITAL LEGACY INVESTEMENTS, LLC; REAL ESTATE. 4.) WOODCREEK WEALTH MANAGEMENT; OWNER; ONLY OFFERS CETERA ADVISORS PRODUCTS/SERVICES; 160 HOURS PER MONTH 5.) NAME OF OTHER BUSINESS: FIRST US COMMUNITY CREDIT UNION; INVESTMENT RELATED: NO; ADDRESS: 580 UNIVERSITY AVENUE, SACRAMENTO, CA 95825; NATURE OF BUSINESS: BOARD; START DATE: 10/2025; POSITION/TITLE/RELATIONSHIP: ASSOCIATE BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: POLICY AND GOVERNANCE AS IT RELATES TO THE BUSINESS OF THE CREDIT UNION;

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-09-15
S63 Uniform Securities Agent State Law Examination 1994-09-06
  • S65 Uniform Investment Adviser Law Examination
    1998-09-15
  • S63 Uniform Securities Agent State Law Examination
    1994-09-06

View on SEC IAPD

Other Firms

Other Investors

Other Offices

More in Roseville, CA

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor