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

Branch Locations

25A Vreeland Rd Ste 303, Florham Park, NJ 07932 • United States

Flanders, NJ • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien Yes
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Cetera Wealth Services, Llc El Segundo CA 01/2013 Present
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
Previous Registrations
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: 10/17/2012 APX NUMBER OF HOURS PER WEEK: VARIES APX NUMBER OF HOURS DURING TRADING HOURS: VARIES POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, ANNUITIES, LONG TERM CARE, DENTAL, VISION AND GROUP LIFE 2. NAME OF OTHER BUSINESS: FINANCIAL NETWORK INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES POSITION/TITLE/RELATIONSHIP: AFFILIATED PERSON START DATE: 01/02/2013 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES 3. NAME OF OTHER BUSINESS: CLOVERLEAF TAVERN; INVESTMENT RELATED: NO; ADDRESS: 395 BLOOMFIELD AVE, CALDWELL, NJ 07006; NATURE OF BUSINESS: DRINKS AND FOOD; START DATE: 06/2019; POSITION/TITLE/RELATIONSHIP: BARTENDER / WAITER; APX NUMBER OF HOURS PER WEEK: 15; APX NUMBER OF HOURS DURING TRADING HOURS: 15; BRIEF DESCRIPTION OF DUTIES: SERVE FOOD TO TABLES, SERVE DRINKS TO PATRONS;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2011-01-26
S63 Uniform Securities Agent State Law Examination 2010-10-06
  • S66 Uniform Combined State Law Examination
    2011-01-26
  • S63 Uniform Securities Agent State Law Examination
    2010-10-06
Other Names
  • Robert Drew Dicerbo

View on SEC IAPD

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