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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
CO RA APPROVED 2023-06-29
  • CO RA
    APPROVED
    Since 2023-06-29

Branch Locations

5595 S Sycamore St, Littleton, CO 80120 • United States

Elizabeth, CO • 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
Cetera Wealth Services, Llc Littleton CO 11/2013 Present
Cc Coaching And Consulting, Inc Littleton CO 11/2013 Present
Lyft Denver CO 08/2017 Present
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
  • 11/2013 → Present
    Cetera Wealth Services, Llc
    Littleton, CO
  • 11/2013 → Present
    Cc Coaching And Consulting, Inc
    Littleton, CO
  • 08/2017 → Present
    Lyft
    Denver, CO
  • 06/2023 → Present
    Schaumburg, IL
Other Businesses

1. NAME OF OTHER BUSINESS: CC COACHING AND CONSULTING, INC.; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 11/18/2013; POSITION/TITLE/RELATIONSHIP: DIRECTOR OF OPERATIONS; APX NUMBER OF HOURS PER WEEK: 40 HOURS; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 HOURS; BRIEF DESCRIPTION OF DUTIES: PROCESS NEW ACCOUNT PAPERWORK AND CLIENT SERVICE REQUESTS. 2.NAME OF OTHER BUSINESS: LYFT INVESTMENT RELATED: NO ADDRESS: DENVER, CO NATURE OF BUSINESS: RIDE SHARING START DATE: 8/2017 APX NUMBER OF HOURS PER WEEK: 15 APX NUMBER OF HOURS DURING TRADING HOURS: 15 POSITION/TITLE/RELATIONSHIP: DRIVER BRIEF DESCRIPTION OF DUTIES: DRIVING; 3. NAME OF OTHER BUSINESS: N/A; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: NOTARY; START DATE: 9/2024; POSITION/TITLE/RELATIONSHIP: NOTARY PUBLIC; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: NOTARIZE DOCUMENTATION IF NEEDED;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-11-18
  • S66 Uniform Combined State Law Examination
    2019-11-18
Other Names
  • Catherine Fadden
  • Catherine E Lottimer
  • Catherine E Lottimer

View on SEC IAPD

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