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

Branch Locations

707 Sable Oaks Drive Suite 203, South Portland, ME 04106 • United States

45 Memorial Circle Suite 104, Augusta, ME 04330 • 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 Corp Lynnfield MA 01/2011 09/2016
Cetera Advisors Llc Denver CO 10/2016 Present
Iis Financial Services Augusta ME 07/2013 Present
Cetera Investment Advisers Llc Schaumburg IL 03/2024 Present
Pine Harbor Advisors South Portland ME 07/2025 Present
  • 01/2011 → 09/2016
    Investors Capital Corp
    Lynnfield, MA
  • 10/2016 → Present
    Cetera Advisors Llc
    Denver, CO
  • 07/2013 → Present
    Iis Financial Services
    Augusta, ME
  • 03/2024 → Present
    Schaumburg, IL
  • 07/2025 → Present
    Pine Harbor Advisors
    South Portland, ME
Other Businesses

1. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 07/01/2013; APX NUMBER OF HOURS PER WEEK: 2 HOURS; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, DISABILITY, ANNUITIES AND LONG-TERM CARE. 2. NAME OF OTHER BUSINESS: DAVID HANSON - LANDLORD; INVESTMENT RELATED: NO ADDRESS: VARIOUS PROPERTIES (ME & MA) NATURE OF BUSINESS: REAL ESTATE RENTALS; START DATE: 09/15/2014; POSITION/TITLE/RELATIONSHIP: LANDLORD; APX NUMBER OF HOURS PER WEEK: 1-2 HOURS; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES; BRIEF DESCRIPTION OF DUTIES: RENTAL PROPERTY INCOME. 3. NAME OF OTHER BUSINESS: DBA IIS FINANCIAL SERVICES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 07/01/2013; POSITION/TITLE/RELATIONSHIP: REGISTERED REPRESENTATIVE; APX NUMBER OF HOURS PER WEEK: 40+ HOURS; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 HOURS; BRIEF DESCRIPTION OF DUTIES: DBA FOR SECURITIES BUSINESS. 4. NAME OF OTHER BUSINESS: PINE HARBOR ADVISORS; INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 7/2025, POSITION/TITLE/RELATIONSHIP: MANAGING PARTNER, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2022-12-19
S63 Uniform Securities Agent State Law Examination 2011-09-15
  • S65 Uniform Investment Adviser Law Examination
    2022-12-19
  • S63 Uniform Securities Agent State Law Examination
    2011-09-15

View on SEC IAPD

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