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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
TX RA APPROVED 2026-05-29
NH RA APPROVED 2022-12-16
  • TX RA
    APPROVED
    Since 2026-05-29
  • NH RA
    APPROVED
    Since 2022-12-16

Branch Locations

146 Pembroke St, Pembroke, NH 03275 • 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
Echelon Financial Services Bow NH 07/2016 10/2016
National Life Group Montpelier VT 09/2016 09/2019
Equity Services, Inc. Montpelier VT 10/2016 09/2019
Securities America, Inc. Pembroke NH 09/2019 12/2022
The Patriot Financial Group Westborough MA 09/2019 11/2024
Alder Tree Financial Pembroke NH 11/2021 Present
Cetera Financial Specialists Llc Schaumburg IL 12/2022 Present
Cetera Investment Advisers Llc Schaumburg IL 12/2022 Present
  • 07/2016 → 10/2016
    Echelon Financial Services
    Bow, NH
  • 09/2016 → 09/2019
    National Life Group
    Montpelier, VT
  • 10/2016 → 09/2019
    Montpelier, VT
  • 09/2019 → 12/2022
    Securities America, Inc.
    Pembroke, NH
  • 09/2019 → 11/2024
    The Patriot Financial Group
    Westborough, MA
  • 11/2021 → Present
    Alder Tree Financial
    Pembroke, NH
  • 12/2022 → Present
    Cetera Financial Specialists Llc
    Schaumburg, IL
  • 12/2022 → Present
    Schaumburg, IL
Previous Registrations
Other Businesses

1) NAME OF OTHER BUSINESS: ALDER TREE FINANCIAL; INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 10/2021, POSITION/TITLE/RELATIONSHIP: OWNER, APX NUMBER OF HOURS PER WEEK: 60, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 2) EQUINE TEACHER AND TRAINER, NOT INVESTMENT RELATED, CANTERBURY, NH, TEACHING RIDING LESSONS AND TRAINING HORSES, 1H/WEEK, SINCE 06/1999

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2017-03-28
S63 Uniform Securities Agent State Law Examination 2013-12-20
  • S65 Uniform Investment Adviser Law Examination
    2017-03-28
  • S63 Uniform Securities Agent State Law Examination
    2013-12-20
Other Names
  • Amanda Ann Wahl
  • Amanda Ann Wood

View on SEC IAPD

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