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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
NH RA APPROVED 2024-03-21
TX RA APPROVED 2024-03-21
  • NH RA
    APPROVED
    Since 2024-03-21
  • TX RA
    APPROVED
    Since 2024-03-21

Branch Locations

46 South Main Street Suite 5, Concord, NH 03301 • 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
Investors Capital Corporation Lynnfield MA 01/2007 10/2016
Cetera Advisors Llc Denver CO 10/2016 Present
Globe Wealth Management Concord NH 01/2008 01/2022
Globe Wealth Management, Llc, Dba Globe Wealth Management Concord NH 01/2022 Present
Cetera Investment Advisers Llc Schaumburg IL 03/2024 Present
K & B Realty, Llc, Concord NH 04/2024 Present
Blodgett Mountain, Llc Concord NH 12/2024 Present
  • 01/2007 → 10/2016
    Investors Capital Corporation
    Lynnfield, MA
  • 10/2016 → Present
    Cetera Advisors Llc
    Denver, CO
  • 01/2008 → 01/2022
    Globe Wealth Management
    Concord, NH
  • 01/2022 → Present
    Globe Wealth Management, Llc, Dba Globe Wealth Management
    Concord, NH
  • 03/2024 → Present
    Schaumburg, IL
  • 04/2024 → Present
    K & B Realty, Llc,
    Concord, NH
  • 12/2024 → Present
    Blodgett Mountain, Llc
    Concord, NH
Previous Registrations
  • 2007-01-26 → 2016-10-03
    Investors Capital Corp.
    Lynnfield, MA
    Lunenburg, MA
    Lunenburg, MA
    Concord, NH
    Lynnfield, MA
    Lynnfield, MA
  • 2000-09-01 → 2007-01-31
    Morgan Stanley Dw Inc.
    Manchester, NH
    Manchester, NH
Other Businesses

1. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERD LOCATION, NATURE OF BUSINESS: FIXED INSURANCE, START DATE: 8/2016, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF TRADING HOURS PER WEEK: 32.5, POSITION/TITLE/RELATIONSHIP: AGENT, BRIEF DESCRIPTION OF DUTIES: LIFE, DISABILITY, ANNUITIES, & LONG TERM CARE; 2. NAME OF OTHER BUSINESS: 46 S. MAIN ST CONDO ASS, INVESTMENT RELATED: NO, ADDRESS: 46 S. MAIN ST CONCORD NH 03301, NATURE OF BUSINESS: CONDO ASSOCIATION, START DATE: 6/2016, APX NUMBER OF HOURS PER WEEK: 1, APX NUMBER OF TRADING HOURS PER WEEK: 1, POSITION/TITLE/RELATIONSHIP: BOARD MEMBER, BRIEF DESCRIPTION OF DUTIES: REVIEW CONDO BY LAWS, ENFORCE BY LAWS AND WORK WITH MAINTENANCE; 3. NAME OF OTHER BUSINESS: GLOBE WEALTH MANAGEMENT, LLC DBA GLOBE WEALTH MANAGEMENT, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: DBA FOR FINANCIAL SERVICES, START DATE: 01/2022, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF TRADING HOURS PER WEEK: 32.5, POSITION/TITLE/RELATIONSHIP: PARTNER, BRIEF DESCRIPTION OF DUTIES: FINANCIAL PLANNING /INVESTMENT PLANNING; 4. NAME OF OTHER BUSINESS: REAL ESTATE RENTAL, INVESTMENT RELATED: NO, ADDRESS: 46 S. MAIN ST CONCORD NH 03301, NATURE OF BUSINESS: RENTAL ASSOCIATION, START DATE: 2/2000, APX NUMBER OF HOURS PER WEEK: 1, APX NUMBER OF TRADING HOURS PER WEEK: 1, POSITION/TITLE/RELATIONSHIP: 50% OWNER, BRIEF DESCRIPTION OF DUTIES: COLLECT RENTS, MAINTAIN PROPERTY, PAY BILLS; 5. NAME OF OTHER BUSINESS: K & B REALTY, LLC, INVESTMENT RELATED: NO, ADDRESS: 46 S MAIN ST UNIT 5, CONCORD, NH 03301, NATURE OF BUSINESS: REAL ESTATE, START DATE: 04/2024, POSITION/TITLE/RELATIONSHIP: PARTNER, APX NUMBER OF HOURS PER WEEK: 1, APX NUMBER OF HOURS DURING TRADING HOURS: VARIES, BRIEF DESCRIPTION OF DUTIES: CONDO FOR INVESTMENT MANAGEMENT FIRM; 6. NAME OF OTHER BUSINESS: K & B REALTY, LLC, INVESTMENT RELATED: NO, ADDRESS: 46 S MAIN STREET, SUITE 5B, NATURE OF BUSINESS: REAL ESTATE, START DATE:07/2024, POSITION/TITLE/RELATIONSHIP: PARTNER, LESS THAN ONE HOUR PER WEEK, NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: COLLECT RENTS AND TAKE CARE OF ANY ISSUES; 7. NAME OF OTHER BUSINESS: BLODGETT MOUNTAIN, LLC, INVESTMENT RELATED: NO, ADDRESS: SAME AS RESIDENTIAL LOCATION, NATURE OF BUSINESS: LLC, START DATE: 12/2024, POSITION/TITLE/RELATIONSHIP: MEMBER MANAGER, LESS THAN ONE HOUR PER WEEK, MAY BE DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: COLLECT PAYMENTS FROM LOGGING COMPANY, PAY BILLS, DISTRIBUTE ASSETS.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-01-20
S63 Uniform Securities Agent State Law Examination 1999-01-07
  • S65 Uniform Investment Adviser Law Examination
    1999-01-20
  • S63 Uniform Securities Agent State Law Examination
    1999-01-07
Designations

View on SEC IAPD

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