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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
AZ RA APPROVED 2024-03-21
  • AZ RA
    APPROVED
    Since 2024-03-21

Branch Locations

3200 W Ray Road Suite 101, Chandler, AZ 85226 • 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
Jp Morgan Chase Bank Na Mesa AZ 03/2010 Present
Spirited Cakes Mesa AZ 02/2008 Present
J.P. Morgan Securities Llc Mesa AZ 10/2012 Present
Wilde Wealth Management Tempe AZ 08/2021 Present
Cetera Advisors Llc St Cloud MN 08/2021 Present
Cetera Investment Advisers Llc Schaumburg IL 03/2024 Present
  • 03/2010 → Present
    Jp Morgan Chase Bank Na
    Mesa, AZ
  • 02/2008 → Present
    Spirited Cakes
    Mesa, AZ
  • 10/2012 → Present
    Mesa, AZ
  • 08/2021 → Present
    Wilde Wealth Management
    Tempe, AZ
  • 08/2021 → Present
    Cetera Advisors Llc
    St Cloud, MN
  • 03/2024 → Present
    Schaumburg, IL
Previous Registrations
Other Businesses

(1) NAME OF OTHER BUSINESS: WILDE WEALTH MANAGEMENT INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 08/2021, POSITION/TITLE/RELATIONSHIP: CUSTOMER SERVICE REPRESENTATIVE, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 2) NAME OF OTHER BUSINESS: SPIRITED CAKES INVESTMENT RELATED: NO, ADDRESS: 2445 E GARNET AVE, MESA, AZ, 85204 NATURE OF BUSINESS: CAKE BUSINESS, START DATE: 02/2008, POSITION/TITLE/RELATIONSHIP: OWNER, BAKER, APX NUMBER OF HOURS PER WEEK: 6, NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: TAKE ORDERS. MAKE CAKES AND DELIVER CAKES;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-08-28
S63 Uniform Securities Agent State Law Examination 2010-05-05
  • S66 Uniform Combined State Law Examination
    2014-08-28
  • S63 Uniform Securities Agent State Law Examination
    2010-05-05
Other Names
  • Annette Marie Traylor
  • Annette Escalante
  • Annette Marie Escalante

View on SEC IAPD

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