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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
MD RA APPROVED 2025-01-01
  • MD RA
    APPROVED
    Since 2025-01-01

Branch Locations

9710 Monroe St, Cockeysville, MD 21030 • 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 Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Massachusetts Mutual Life Insurance Co Rockville MD 11/2013 12/2023
Mml Investors Services, Llc Rockville MD 01/2014 12/2023
Cetera Wealth Services, Llc El Segundo CA 03/2024 Present
Cetera Investment Advisers Llc Schaumburg IL 03/2024 Present
Previous Registrations
  • 2014-08-28 → 2023-12-31
    Rockville, MD
    Lanham, MD
    Greenbelt, MD
    Rockville, MD
  • 1998-10-02 → 2014-01-10
    Msi Financial Services, Inc.
    Rockville, MD
    Greenbelt, MD
    Greenbelt, MD
    Elkridge, MD
Other Businesses

1. NAME OF OTHER BUSINESS: KINNECT ADVISORS; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 02/2024; POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR; APX NUMBER OF HOURS PER WEEK: 60; APX NUMBER OF HOURS DURING TRADING HOURS: 40; BRIEF DESCRIPTION OF DUTIES: FINANCIAL SERVICES; 2. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 9/1995; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 2; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SALES OF FIXED INSURANCE PRODUCTS;

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-09-22
  • S65 Uniform Investment Adviser Law Examination
    1998-09-22
Other Names
  • Jacqueline B Jones

View on SEC IAPD

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