Dennis Patrick Lavin

Current Employers

Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2021-04-12

NY RA
APPROVED

Since 2021-04-12

Branch Locations

520 Bedford Road, Pleasantville, NY 10570 • 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

Organization	City	State	From	To
Lavin & Associates	Bronx	NY	11/1990	Present
Cetera Financial Specialists Llc	Schaumburg	IL	10/2005	Present
Cetera Investment Advisers Llc	Schaumburg	IL	11/2006	Present

11/1990 → Present

Lavin & Associates

Bronx, NY
10/2005 → Present

Cetera Financial Specialists Llc

Schaumburg, IL
11/2006 → Present

Cetera Investment Advisers Llc

Schaumburg, IL

Other Businesses

1)LAVIN & ASSOCIATES; NOT INVESTMENT RELATED; THE FIRM PROVIDES INDIVIDUAL, CORPORATE ETC TAX SERVICES, ACCOUNTING SERVICES, ETC TO CLIENTS IN THE NEW YORK TRI STATE AREA; PARTNER,CPA; 1987; PRIMARY RESPONSIBILIY FOR PLANNING, SUPERVISION AND REVIEW OF PROFESSIONAL STAFF, CLIENT RELATIONS, ETC. 40 HOUR WORK WEEK; PARTNERSHIP: JAMES P. LAVIN, CPA. TAX PREPARATION, PREPARE TAXES FOR INDIVIDUALS AND SMALL BUSINESSES PARTNER / CPA: 2 NAME OF OTHER BUSINESS: KLUGE FINANCIAL GROUP, LLC; INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 6/2023, POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 10, APX NUMBER OF HOURS DURING TRADING HOURS: 10, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES & SALE & SERVICE OF FIXED INSURANCE;

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1999-08-11

S63 Uniform Securities Agent State Law Examination

1999-08-11