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

Branch Locations

500 108Th Ave Ne Ste 765, Bellevue, WA 98004 • United States

University Place, WA • 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 No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Voya Financial Advisors Bellevue WA 09/2014 06/2021
Cetera Wealth Services, Llc El Segundo CA 06/2021 Present
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
  • 09/2014 → 06/2021
    Voya Financial Advisors
    Bellevue, WA
  • 06/2021 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 06/2023 → Present
    Schaumburg, IL
Previous Registrations
Other Businesses

1. NAME OF ENTITY:JARROD HAYNES LLC; No; 6377B 14TH AVE NW; SEATTLE; WA; 98117; HOLDING COMPANY; OWNER; 8/21/2015; 0; 0; HOLDING COMPANY ONLY| 2. NAME OF ENTITY:EMERALD CITY REFERRAL ASSOCIATION INC.; No; 1130 N 81 ST; SEATTLE; WA; 98103; NETWORKING; AMBASSADOR; 3/14/2015; 20; 6; the company is a professional networks of associates so we can further add value to our current client base and prospects.| 3. NAME OF ENTITY: INDEPENDENT INSURANCE AGENT; Yes; 10655 NE 4TH ST STE 300; BRIDGEPORT; WV; 26330; FIXED INSURANCE; INDEPENDENT INSURANCE AGENT; 11/19/2009; 160; 160; SALE OF FIXED INSURANCE PRODUCTS| 4. NAME OF OTHER BUSINESS: WESTSTAR PROSPERITY PARTNERS; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES DBA; START DATE: 06/2021; POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: FINANCIAL SERVICES;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2013-05-29
  • S66 Uniform Combined State Law Examination
    2013-05-29

View on SEC IAPD

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