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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
TX RA APPROVED 2026-08-12
  • TX RA
    APPROVED
    Since 2026-08-12

Branch Locations

Westford, MA • United States

44 Bearfoot Rd Suite 254, Northborough, MA 01532 • United States

Disclosures

1 disclosure category 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 No
Employment History
OrganizationCityStateFromTo
Lpl Financial Littleton MA 09/2009 08/2026
First Technology Federal Credit Union Littleton MA 09/2009 08/2026
Cetera Wealth Services, Llc El Segundo CA 08/2026 Present
Cetera Investment Advisers Llc Schaumburg IL 08/2026 Present
  • 09/2009 → 08/2026
    Lpl Financial
    Littleton, MA
  • 09/2009 → 08/2026
    First Technology Federal Credit Union
    Littleton, MA
  • 08/2026 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 08/2026 → Present
    Schaumburg, IL
Previous Registrations
  • 2009-09-18 → 2026-08-28
    Lexington, MA
    Marlborough, MA
    Fort Mill, SC
    Littleton, MA
    Hudson, NH
    Hudson, NH
    Westford, MA
    Westford, MA
  • 2005-03-15 → 2009-09-16
    Cetera Wealth Services, Llc
    Littleton, MA
    Waltham, MA
    Littleton, MA
    Nashua, NH
    Andover, MA
    Mervimack, NH
    Hudson, NH
  • 2001-09-20 → 2002-08-29
    Boston, MA
Other Businesses

1. NAME OF OTHER BUSINESS: PIONEER FINANCIAL GROUP INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: DBA FORSTART DATE: 08/2026 POSITION/TITLE/RELATIONSHIP: WEALTH MANAGEMENT ADVISOR APX NUMBER OF HOURS PER WEEK: 50 APX NUMBER OF HOURS DURING TBRIEF DESCRIPTION OF DUTIES: FINANCIAL PRODUCTS AND SERVICES/ADVISORY; 2. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 03/2026 APX NUMBER OF HOURS PER WEEK: 5 APX NUMBER OF TRADING HOURS: 5 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SALES OF FIXED INSURANCE PRODUCTS; 3. NAME OF OTHER BUSINESS: STURGES CAPITAL MANAGEMENT, LLC; INVESTMENT RELATED: NO; ADDRESS: SAME AS RESIDENTIAL LOCATION; NATURE OF BUSINESS: TAX ENTITY; START DATE: 08/2026; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 5; APX NUMBER OF HOURS DURING TRADING HOURS: 5; BRIEF DESCRIPTION OF DUTIES: ENTITY ESTABLISHED TO RECEIVE REVENUE;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2001-08-07
S63 Uniform Securities Agent State Law Examination 1995-08-18
  • S66 Uniform Combined State Law Examination
    2001-08-07
  • S63 Uniform Securities Agent State Law Examination
    1995-08-18

View on SEC IAPD

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