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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
CA RA APPROVED 2023-12-26
  • CA RA
    APPROVED
    Since 2023-12-26

Branch Locations

655 W Broadway 12Th Fl, San Diego, CA 92101 • United States

San Diego, CA • 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
Commonwealth Financial Network San Diego CA 08/2010 04/2021
M Holdings Securities Portland OR 04/2021 11/2023
Cetera Wealth Services, Llc El Segundo CA 11/2023 Present
Cetera Advisers Llc Greenwood Village CO 11/2023 Present
Cetera Financial Specialists Llc Schaumburg IL 11/2023 Present
Cetera Investment Services Llc St Cloud MN 11/2023 Present
Cetera Investment Advisers San Diego CA 11/2023 Present
Cetera Advisors Llc St. Cloud MN 11/2023 Present
  • 08/2010 → 04/2021
    San Diego, CA
  • 04/2021 → 11/2023
    M Holdings Securities
    Portland, OR
  • 11/2023 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 11/2023 → Present
    Cetera Advisers Llc
    Greenwood Village, CO
  • 11/2023 → Present
    Cetera Financial Specialists Llc
    Schaumburg, IL
  • 11/2023 → Present
    Cetera Investment Services Llc
    St Cloud, MN
  • 11/2023 → Present
    Cetera Investment Advisers
    San Diego, CA
  • 11/2023 → Present
    Cetera Advisors Llc
    St. Cloud, MN
Previous Registrations
Other Businesses

1. NAME OF OTHER BUSINESS: RENTAL PROPERTY; INVESTMENT RELATED: NO; ADDRESS: SAN DIEGO, CA 92101 NATURE OF BUSINESS: RENTAL PROPERTY; START DATE: 11/2021; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: OWNER OF CONDOMINIUM THAT UTILIZES A PROPERTY MANAGER TO RENT OUT ON AN ANNUAL BASIS;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-03-02
  • S66 Uniform Combined State Law Examination
    2007-03-02

View on SEC IAPD

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