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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
RI RA APPROVED 2026-01-16
  • RI RA
    APPROVED
    Since 2026-01-16

Branch Locations

2 Chestnut Hill Road, Chepachet, RI 02814 • 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
First Allied Securities, Inc. San Diego CA 06/2005 09/2022
First Allied Advisory Services, Inc. Chesterfield MO 06/2012 11/2020
First Allied Advisory Services Schaumburg IL 11/2020 11/2020
Cetera Advisors Llc Chepachet RI 09/2022 Present
Cetera Investment Advisers Llc Schaumburg IL 11/2020 Present
Chestnut Hill Wealth Management Inc. Chepachet RI 02/2026 Present
  • 06/2005 → 09/2022
    First Allied Securities, Inc.
    San Diego, CA
  • 06/2012 → 11/2020
    First Allied Advisory Services, Inc.
    Chesterfield, MO
  • 11/2020 → 11/2020
    First Allied Advisory Services
    Schaumburg, IL
  • 09/2022 → Present
    Cetera Advisors Llc
    Chepachet, RI
  • 11/2020 → Present
    Schaumburg, IL
  • 02/2026 → Present
    Chestnut Hill Wealth Management Inc.
    Chepachet, RI
Previous Registrations
  • 2012-06-18 → 2020-11-12
    First Allied Advisory Services, Inc.
    Chepachet, RI
    Chepachet, RI
  • 2012-01-27 → 2012-08-09
    First Allied Securities, Inc.
    Chepachet, RI
Other Businesses

1) CHESTNUT HILL INSURANCE GROUP; PRESIDENT AND CEO; INSURANCE; START DATE 8/1/2015; 32 HOURS PER MONTH. 2) AGNONE AND ASSOCIATES FINANCIAL SERVICES; PRESIDENT & CEO; DBA; START DATE: 1/3/2003; 160 HOURS PER MONTH. 3) NOTARY; NOTARY PUBLIC; ATTORNEY/PARALEGAL/NOTARY SERVICES; START DATE: 01/27/2022; 8 HOURS PER MONTH. 4) NAME OF OTHER BUSINESS: CHESTNUT HILL WEALTH MANAGEMENT INC. ; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 02/2026; POSITION/TITLE/RELATIONSHIP: PRESIDENT/CEO; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 8; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2003-04-22
S63 Uniform Securities Agent State Law Examination 1996-04-11
  • S66 Uniform Combined State Law Examination
    2003-04-22
  • S63 Uniform Securities Agent State Law Examination
    1996-04-11
Designations

View on SEC IAPD

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