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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
AZ RA APPROVED 2019-06-27
  • AZ RA
    APPROVED
    Since 2019-06-27

Branch Locations

1702 E. Highland Ave Suite 204, Phoenix, AZ 85016 • United States

Phoenix, AZ • 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
Foresters Financial Phoenix AZ 09/2008 06/2019
Foresters Advisory Services Llc Phoenix AZ 01/2015 06/2019
Jennifer Hope, Llc Phoenix AZ 09/2016 Present
Cetera Investment Services Llc St Cloud MN 06/2019 Present
Cetera Investment Advisers Llc Phoenix AZ 06/2019 Present
  • 09/2008 → 06/2019
    Foresters Financial
    Phoenix, AZ
  • 01/2015 → 06/2019
    Foresters Advisory Services Llc
    Phoenix, AZ
  • 09/2016 → Present
    Jennifer Hope, Llc
    Phoenix, AZ
  • 06/2019 → Present
    Cetera Investment Services Llc
    St Cloud, MN
  • 06/2019 → Present
    Phoenix, AZ
Previous Registrations
  • 2015-02-23 → 2019-06-20
    Foresters Advisory Services, Llc
    Phoenix, AZ
Other Businesses

1. OWNER OF JENNIFER HOPE REALTY, LLC; USED FOR RENTAL INCOME AND TAX PURPOSES ONLY

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2015-01-26
S63 Uniform Securities Agent State Law Examination 2008-12-15
  • S65 Uniform Investment Adviser Law Examination
    2015-01-26
  • S63 Uniform Securities Agent State Law Examination
    2008-12-15

View on SEC IAPD

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