Best Investors Account Sign in
Current Employers
Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2025-12-08
RI RA APPROVED 2025-12-08
  • CT RA
    APPROVED
    Since 2025-12-08
  • RI RA
    APPROVED
    Since 2025-12-08

Branch Locations

11 Main Street Suite 214, Mystic, CT 06355 • United States

13A Terry Lane, Chepachet, RI 02814 • 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
Country Spirit Henniker NH 09/2009 10/2016
Storms Contoocook NH 01/2013 10/2016
Henniker Fitness Center Henniker NH 03/2012 10/2016
Guided Financial Strategies, Llc Chepachet RI 01/2015 Present
Lpl Financial, Llc East Hartford CT 12/2014 12/2025
Cetera Wealth Services, Llc El Segundo CA 12/2025 Present
Cetera Investment Advisers Llc Schaumburg IL 12/2025 Present
  • 09/2009 → 10/2016
    Country Spirit
    Henniker, NH
  • 01/2013 → 10/2016
    Storms
    Contoocook, NH
  • 03/2012 → 10/2016
    Henniker Fitness Center
    Henniker, NH
  • 01/2015 → Present
    Guided Financial Strategies, Llc
    Chepachet, RI
  • 12/2014 → 12/2025
    East Hartford, CT
  • 12/2025 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 12/2025 → Present
    Schaumburg, IL
Previous Registrations
Other Businesses

1. NAME OF OTHER BUSINESS: GUIDED FINANCIAL STRATEGIES, LLC INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: SECURITIES / FINANCIAL SERVICES START DATE: 01/2015 POSITION/TITLE/RELATIONSHIP: PARTNER APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: CLIENT RELATIONS, ACCOUNT OPERATIONS, CLIENT REVIEWS, OFFICE MANAGER; 2. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 11/2018 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT APX NUMBER OF HOURS PER WEEK: 2 APX NUMBER OF HOURS DURING TRADING HOURS: 2 BRIEF DESCRIPTION OF DUTIES: SALES OF FIXED INSURANCE PRODUCTS;

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2025-07-11
S65 Uniform Investment Adviser Law Examination 2025-03-24
  • S63 Uniform Securities Agent State Law Examination
    2025-07-11
  • S65 Uniform Investment Adviser Law Examination
    2025-03-24
Other Names
  • Julie A Hughes

View on SEC IAPD

Other Firms

Other Investors

Other Offices

More in Mystic, CT

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor