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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
NM RA APPROVED 2024-03-21
TX RA APPROVED_RES 2024-03-21
  • NM RA
    APPROVED
    Since 2024-03-21
  • TX RA
    APPROVED_RES
    Since 2024-03-21

Branch Locations

2610 Trinity Dr Ste 10, Los Alamos, NM 87544 • 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 Yes
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Cetera Advisors Llc Denver CO 07/2013 Present
Cetera Investment Advisers Llc Schaumburg IL 03/2024 Present
Previous Registrations
Other Businesses

1. FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED, ADDRESS SAME AS REGISTERED LOCATION, START FEBRUARY 2014, 10 HOURS PER WEEK - VARIES DURING TRADING HOURS, INSURANCE AGENT - SELLS LIFE, LONG-TERM CARE AND ANNUITIES. 2. BENEVOLENT AND PROTECTIVE ORDER OF ELKS, NOT INVESTMENT RELATED, 1601 TRINITY DRIVE, LOS ALAMOS, NM 87544, NON-PROFIT CHARITABLE FRATERNAL ORGANIZATION, START 2013, 5 HOURS PER WEEK - NOT DURING TRADING HOURS, OFFICER. 3. BENEVOLENT AND PROTECTIVE ORDER OF ELKS, NOT INVESTMENT RELATED, 1601 TRINITY DRIVE, LOS ALAMOS, NM 87544, NON-PROFIT CHARITABLE FRATERNAL ORGANIZATION, START DECEMBER 2014, 5 HOURS PER WEEK - NOT DURING TRADING HOURS, BACKUP BARTENDER. 4. DBA ALPINE FINANCIAL PARTNERS; INVESTMENT RELATED; ADDRESS IS THE REGISTERED LOCATION; FINANCIAL AND INSURANCE SERVICES; START 5/2015; 40 HOURS/WEEK DURING SECURITIES TRADING HOURS; OWNER/INVESTMENT ADVISOR REPRESENTATIVE. 5. NAME OF OTHER BUSINESS: PAJARITO MOUNTAIN SKI AREA; INVESTMENT RELATED: NO; ADDRESS: 397 CAMP MAY ROAD, LOS ALAMOS, NM 87544; NATURE OF BUSINESS: OUTDOOR RECREATION; START DATE: 12/2016; POSITION/TITLE/RELATIONSHIP: SNOWBOARD INSTRUCTOR; APX NUMBER OF HOURS PER WEEK: LESS THAN 5 HOURS; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES; BRIEF DESCRIPTION OF DUTIES: TEACH INDIVIDUAL AND GROUP LESSONS.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2010-01-15
  • S66 Uniform Combined State Law Examination
    2010-01-15

View on SEC IAPD

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