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

Branch Locations

75 W Lee St Ste 102, Warrenton, VA 20186 • 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
Cetera Wealth Services, Llc El Segundoc VA 09/2013 Present
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
Previous Registrations
  • 2003-08-01 → 2013-09-03
    Walnut Street Securities, Inc.
    Vienna, VA
    Vienna, VA
    Warrenton, VA
    Warrenton, VA
  • 2000-02-14 → 2003-08-01
    Nathan & Lewis Securities, Inc.
    Vienna, VA
Other Businesses

1.INDEPENDENT INSURANCE AGENT BOWMAN GASKINS FINANCIAL GROUP DISABILITY, LIFE/ACCIDENT/HEALTH, LONG-TERM CARE BEGAN 01/1996 25HRS/WKDY ONLY 2.OWNER OF COMMERCIAL AND RESIDENTIAL REAL ESTATE INVESTEMENT PROPERTIES OWNER OF COMMERCIAL INVESTMENT PROPERTIES, WHICH ARE RUN BY A MANAGEMENT COMPANY DSSP LLC BEGAN 11/2002 2HRS/WKDY 2HRS/WKED 3. INDEPENDENT INSURANCE AGENT SELLING P&C FROM BUSINESS ADDRESS FOR 10 WKDY HRS/WK SINCE 3/2012. 4. NAME OF OTHER BUSINESS: DBLD, LLC; INVESTMENT RELATED: NO; ADDRESS: SAME AS RESIDENTIAL LOCATION; NATURE OF BUSINESS: REAL ESTATE; START DATE: 10/2006; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: REVIEW STATEMENTS, WORK WITH PROPERTY MANAGEMENT TO APPROVE REPAIRS TO PROPERTY; 5. NAME OF OTHER BUSINESS: FAUQUIER CHAMBER OF COMMERCE ; INVESTMENT RELATED: NO; ADDRESS: 321 WALKER DR. #202 WARRENTON, VA 20186; NATURE OF BUSINESS:NON PROFIT; START DATE: 8/2024; POSITION/TITLE/RELATIONSHIP: FINANCE COMMITTEE MEMBER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: ASSIST WITH REVIEW OF ORGANIZATION'S FINANCIAL PROCESSES, AND HELP WITH BUDGET PREPARATION; 6. NAME OF OTHER BUSINESS: DSSP, LLC; INVESTMENT RELATED: NO; ADDRESS: SAME AS RESIDENTIAL LOCATION; NATURE OF BUSINESS: REAL ESTATE; START DATE: 06/2004; POSITION/TITLE/RELATIONSHIP: PRESIDENT; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: REVIEW STATEMENTS, WORK WITH PROPERTY MANAGEMENT TO APPROVE REPAIRS TO PROPERTY;

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-12-02
S63 Uniform Securities Agent State Law Examination 1995-05-19
  • S65 Uniform Investment Adviser Law Examination
    1997-12-02
  • S63 Uniform Securities Agent State Law Examination
    1995-05-19

View on SEC IAPD

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