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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
FL RA APPROVED 2023-05-10
  • FL RA
    APPROVED
    Since 2023-05-10

Branch Locations

1045 Jenks Ave, Panama City, FL 32401 • United States

1378 North Railroad Avenue, Chipley, FL 32428 • 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
Mike Owens Financial Services Inc Pananma City FL 02/2013 Present
Voya Financial Advisors Chipley FL 09/2014 06/2021
Cetera Wealth Services, Llc El Segundo CA 05/2021 Present
Cetera Investment Advisers Llc Schaumburg IL 03/2023 Present
  • 02/2013 → Present
    Mike Owens Financial Services Inc
    Pananma City, FL
  • 09/2014 → 06/2021
    Voya Financial Advisors
    Chipley, FL
  • 05/2021 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 03/2023 → Present
    Schaumburg, IL
Previous Registrations
Other Businesses

1) NAME OF ENTITY:WILLIAMS FINANCIAL SERVICES; Yes; 1378 N RAILROAD AVE; CHIPLEY; FL; 32428; FINANCIAL SERVICES; FINANCIAL ADVISOR; 2/15/2013; 8; 8; SALE AND SERVICES INSURANCE,SECURITIES AND INVESTMENT PRODUCTS| 2) NAME OF ENTITY:MIKE OWENS FINANCIAL SERVICES INC; Yes; 228 SOUTH CLAIRE DR; PANAMA CITY; FL; 32401; FINANCIAL SERVICES/DBA; OWNER/PRESIDENT; 2/15/2013; 150; 150; INSURANCE & INVESTMENT SERVICES| 3) NAME OF ENTITY: Independent Insurance Agent; Yes; 1378 N RAILROAD AVE; CHIPLEY; FL; 32428; Fixed Insurance Sales; Independent Insurance Agent; 2/15/2013; 20; 20; Sales of fixed insurance products| 4) NAME OF OTHER BUSINESS:MIKE OWENS FINANCIAL SERVICES INC. DBA OWENS WEALTH MANAGEMENT ; INVESTMENT RELATED: NO; ADDRESS: SAME AS RESIDENTIAL LOCATION; NATURE OF BUSINESS: EXPENSE MANAGEMENT/TAX PURPOSES; START DATE: 03/2023; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 0; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: DBA FOR EXPENSE MANAGEMENT AND TAX PURPOSES;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-02-03
  • S66 Uniform Combined State Law Examination
    2006-02-03

View on SEC IAPD

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