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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
OH RA APPROVED 2024-03-21
TX RA APPROVED_RES 2024-03-21
  • OH RA
    APPROVED
    Since 2024-03-21
  • TX RA
    APPROVED_RES
    Since 2024-03-21

Branch Locations

234 South Water St Suite 201, Kent, OH 44240 • 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 Advisors Llc Denver CO 01/2013 Present
Cetera Investment Advisers Llc Schaumburg IL 03/2024 Present
Other Businesses

1.MARATHON FINANCIAL SERVICES, START 05/13/2009, 141 E MAIN ST KENT OH 44240, 40-50 HR/WK, DBA NAME FOR FINANCIAL SERVICES AND FIXED INSURANCE, COMMISSIONS. 2. NAME OF OTHER BUSINESS: 234 S WATER ST LLC; INVESTMENT RELATED: NO; ADDRESS: 234 S WATER ST KENT, OH 44240; NATURE OF BUSINESS: REAL ESTATE; START DATE: 2/2023; POSITION/TITLE/RELATIONSHIP: CO-OWNER; APX NUMBER OF HOURS PER WEEK: 5-10; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES; BRIEF DESCRIPTION OF DUTIES: OFFICE BUILDING, BUILDING MAINTENANCE, PAYING EXPENSES AND COLLECTING RENTS; 3. NAME OF OTHER BUSINESS: N/A - JOHN ORGAN; INVESTMENT RELATED: NO; ADDRESS: SAME AS RESIDENTIAL LOCATION; NATURE OF BUSINESS: RENTAL PROPERTY; START DATE: 08/1988; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: UPKEEP AND MAINTENANCE, PAYING UTILITY BILLS; 4. NAME OF OTHER BUSINESS: THE ROTARY CLUB OF KENT; INVESTMENT RELATED: NO; ADDRESS: PO BOX 6, KENT, OH 44240; NATURE OF BUSINESS: BOARD; START DATE: 7/2026; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: ASSIST WITH DECISION MAKING FOR THE ORGANIZATION INCLUDING BUDGETING AND FUNDRAISING;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-04-17
  • S66 Uniform Combined State Law Examination
    2006-04-17
Designations

View on SEC IAPD

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