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 2023-06-29
WV RA APPROVED 2023-06-29
  • TX RA
    APPROVED_RES
    Since 2023-06-29
  • WV RA
    APPROVED
    Since 2023-06-29

Branch Locations

Charleston, WV • United States

Disclosures

2 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 No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination Yes
Employment History
OrganizationCityStateFromTo
Summit Financial Group Inc Charleston WV 09/2014 05/2021
Summit Brokerage Services Inc Charleston WV 09/2014 09/2019
Cetera Wealth Services, Llc El Segundo CA 09/2019 Present
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
  • 09/2014 → 05/2021
    Summit Financial Group Inc
    Charleston, WV
  • 09/2014 → 09/2019
    Summit Brokerage Services Inc
    Charleston, WV
  • 09/2019 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 06/2023 → Present
    Schaumburg, IL
Previous Registrations
  • 2014-09-15 → 2021-05-20
    Summit Financial Group Inc
    Charleston, WV
  • 2011-11-01 → 2014-08-29
    Charleston, WV
    Cedar Rapids, IA
  • 2006-07-12 → 2012-04-30
    Securities Management & Research, Inc.
    League City, TX
    Charleston, WV
    Reynoldsburg, OH
    Charleston, WV
Other Businesses

(1) - - WEST POINT THOROUGHBREDS - - NOT INVESTMENT RELATED - 2 Smith Bridge Road, Saratoga Springs NY 12866 -PARTNER IN THE OWNERSHIP OF THOROUGHBRED RACEHORSE - - LIMITED PARTNER-STARTED 05/07- 10 hours a month - 0 HRS DURING TRADING HOURS-FINANCIAL OBLIGATION ONLY (2) - - SOUTH SHORE INVESTMENT ADVISORS-DBA - INVESTMENT RELATED - - at registered branch office --STARTED 7/1/2007 -100 HRS A MONTH - - 70 DURING TRADING HOURS (3) NAME OF OTHER BUSINESS: CRAIK PATTON HOUSE; INVESTMENT RELATED: NO ; ADDRESS: 2809 KANAWHA BLVD E CHARLESTON, WV 25311; NATURE OF BUSINESS: NON PROFIT; START DATE: 07/2026; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: VOTE ON ISSUES TO GUIDE THE GROWTH OF THIS ORGANIZATION;

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2005-04-20
S63 Uniform Securities Agent State Law Examination 1994-12-01
  • S65 Uniform Investment Adviser Law Examination
    2005-04-20
  • S63 Uniform Securities Agent State Law Examination
    1994-12-01

View on SEC IAPD

More in Charleston, WV

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor