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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
NY RA APPROVED 2024-03-21
  • NY RA
    APPROVED
    Since 2024-03-21

Branch Locations

2000 Winton Rd S Bldg 4 Ste Ll2, Rochester, NY 14618 • 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 Advisors Llc Denver CO 01/2013 Present
Cetera Investment Advisers Llc Schaumburg IL 03/2024 Present
Other Businesses

1. INSURANCE, LIFEQUEST FINANCIAL, LLC, DBA, 66 WEST MAIN STREET, 2ND FLOOR, MACEDON, NY 14502. 2. TRUSTEE FOR PARENTS TRUST. NOT INVESTMENT RELATED.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2003-04-04
  • S66 Uniform Combined State Law Examination
    2003-04-04

View on SEC IAPD

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