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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
NM RA APPROVED 2023-06-29
  • NM RA
    APPROVED
    Since 2023-06-29

Branch Locations

336 Luna St Se, Los Lunas, NM 87031 • United States

7770 Jefferson St Ne Suite 405, Albuquerque, NM 87109 • 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
Rio Grande Insurance L.L.C Los Lunas NM 10/2000 Present
Cetera Wealth Services, Llc El Segundo CA 01/2013 Present
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
  • 10/2000 → Present
    Rio Grande Insurance L.L.C
    Los Lunas, NM
  • 01/2013 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 06/2023 → Present
    Schaumburg, IL
Other Businesses

1. SOLICITS FIXED INSURANCE PRODUCTS 25% OF TIME: TERM LIFE & HEALTH. 2. NM NOTARY. 3. NAME OF OTHER BUSINESS: RIO GRANDE FINANCIAL NETWORK INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATIOPN, NATURE OF BUSINESS: INSURANCE AGENCY AND DBA FOR CETERA ADVISOR NETWORKS START DATE: 01/09/2013, POSITION/TITLE/RELATIONSHIP: PRINCIPLE FOR PROPERTY AND CASUALTY, LIFE & HEALTH AGENCY. APX NUMBER OF HOURS PER WEEK: 40 HOURS APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: MEET WITH CLIENTS, SERVICE AND MONITOR POLICIES, AND/OR ACCOUNTS. 4. NAME OF OTHER BUSINESS: UNIVERSITY OF MEXICO-VALENCIA CAMPUS-DEVELOPMENT BOARD MEMBER INVESTMENT RELATED: NO ADDRESS: 280 LA ENTRADA LOS LUNAS, NM 87031 NATURE OF BUSINESS: SERVE AS A DEVELOPMENT BOARD MEMBER FOR LOCAL COMMUNITY COLLEGE. THE DEVELOPMENT BOARD WILL PUT TOGETHER COMMUNITY EVENTS (IE, GALA,GOLF TOURNAMENT) TO RAISE FUNDS FOR THE SCHOLARSHIP ENDOWMENT START DATE: 01/14/2013 POSITION/TITLE/RELATIONSHIP: UNIVERSITY OF NEW MEXICO-VALENCIA CAMPUS-DEVELOPMENT BOARD MEMBER APX NUMBER OF HOURS PER WEEK: 2 HOURS PER MONTH APX NUMBER OF HOURS DURING TRADING HOURS: N/A BRIEF DESCRIPTION OF DUTIES: DEVELOPMENT BOARD MEMBER. BI-MONTHLY MEETINGS AND OCCASIONALLY A MONTHLY GALA COMMITTEE MEETING.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-10-18
S63 Uniform Securities Agent State Law Examination 1996-06-10
  • S65 Uniform Investment Adviser Law Examination
    1999-10-18
  • S63 Uniform Securities Agent State Law Examination
    1996-06-10
Other Names
  • Yvonne M Sanchez

View on SEC IAPD

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