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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
NC RA APPROVED 2017-03-21
  • NC RA
    APPROVED
    Since 2017-03-21

Branch Locations

501 Fayetteville St 7Th Floor, Raleigh, NC 27601 • 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
Securities America Inc. Kitty Hawk NC 08/2014 03/2017
Securities America Advisors Kitty Hawk NC 08/2014 03/2017
First National Bank Of Pa Raleigh NC 03/2017 Present
Cetera Investment Services St.CLoud MN 03/2017 Present
Cetera Investment Advisors Raleigh NC 03/2017 Present
  • 08/2014 → 03/2017
    Securities America Inc.
    Kitty Hawk, NC
  • 08/2014 → 03/2017
    Securities America Advisors
    Kitty Hawk, NC
  • 03/2017 → Present
    First National Bank Of Pa
    Raleigh, NC
  • 03/2017 → Present
    Cetera Investment Services
    St.CLoud, MN
  • 03/2017 → Present
    Cetera Investment Advisors
    Raleigh, NC
Previous Registrations
  • 2014-08-07 → 2017-03-21
    Securities America Advisors, Inc.
    Kitty Hawk, NC
  • 2013-11-15 → 2014-08-12
    Osaic Fs, Inc.
    Kitty Hawk, NC
    Kitty Hawk, NC
    Raleigh, NC
  • 2012-05-31 → 2013-12-16
    Wilmington, NC
    Wilmington, NC
  • 2010-06-30 → 2012-06-04
    Wilmington, NC
    Raleigh, NC
    Rocky Mount, NC
Other Businesses

1) FIXED LIFE INSURANCE SALES OUTSIDE OF CETERA

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2010-06-09
  • S66 Uniform Combined State Law Examination
    2010-06-09

View on SEC IAPD

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