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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
CA RA APPROVED 2025-09-05
TX RA APPROVED_RES 2025-09-05
  • CA RA
    APPROVED
    Since 2025-09-05
  • TX RA
    APPROVED_RES
    Since 2025-09-05

Branch Locations

Ventura, CA • United States

Oxnard, CA • United States

Avantax Planning Partners, Inc.

210 Jones St Ste. 104, Dubuque, IA 52001 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2021-03-30
  • CA RA
    APPROVED
    Since 2021-03-30

Branch Locations

1000 Town Center Drive Suite 100, Oxnard, CA 93036 • United States

210 Jones St Ste. 104, Dubuque, IA 52001 • United States

Ventura, CA • 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
Carey & Hanna, Cpas Ventura CA 01/2012 12/2020
Avantax Investment Services, Inc. Oxnard CA 01/2012 09/2025
Avantax Advisory Services Oxnard CA 04/2011 09/2025
Avantax Insurance Agency, Llc Oxnard CA 07/2019 09/2025
Avantax Planning Partners Oxnard CA 03/2021 Present
Cetera Wealth Services, Llc Oxnard CA 09/2025 Present
Cetera Investment Advisers Llc Schaumburg IL 09/2025 Present
  • 01/2012 → 12/2020
    Carey & Hanna, Cpas
    Ventura, CA
  • 01/2012 → 09/2025
    Avantax Investment Services, Inc.
    Oxnard, CA
  • 04/2011 → 09/2025
    Avantax Advisory Services
    Oxnard, CA
  • 07/2019 → 09/2025
    Avantax Insurance Agency, Llc
    Oxnard, CA
  • 03/2021 → Present
    Avantax Planning Partners
    Oxnard, CA
  • 09/2025 → Present
    Cetera Wealth Services, Llc
    Oxnard, CA
  • 09/2025 → Present
    Schaumburg, IL
Previous Registrations
  • 2012-04-11 → 2025-09-05
    Avantax Advisory Services
    Oxnard, CA
    Ventura, CA
Other Businesses

1) SULLTRAINING POSITION: Consultant/Trainer/Coach NATURE: Lifestyle fitness coaching & consulting. INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 0 START DATE: 03/01/2023; 290 S SATICOY AVE, VENTURA CA 93004, US; Strength training programming. Diet planning. Training performance assessment. Communicating via email One on one and group consultations via zoom, phone, and In-person. 2) RENTAL PROPERTY POSITION: Owner NATURE: I have a separate space in my home my spouse and I are considering renting. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 10/01/2024 ADDRESS: 290 S SATICOY AVE, VENTURA CA 93004, United States DESCRIPTION: None. This will be my spouse's project entirely.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2012-03-30
  • S66 Uniform Combined State Law Examination
    2012-03-30
Designations
Other Names
  • Chris Sullivan
  • Christopher Brent Sullivan

View on SEC IAPD

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