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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
NC RA APPROVED 2025-12-10
MD RA APPROVED 2024-03-11
  • NC RA
    APPROVED
    Since 2025-12-10
  • MD RA
    APPROVED
    Since 2024-03-11

Branch Locations

615 St. George Square Suite 300, Winston-Salem, NC 27103 • United States

Frederick, MD • 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
The Prudential Insurance Company Of America Finksburg MD 01/2013 01/2024
Pruco Securities Llc Finksburg MD 01/2013 01/2024
Unemployed Columbia MD 02/2024 03/2024
Cetera Wealth Services, Llc El Segundo CA 03/2024 Present
Cetera Investment Advisers Schaumburg IL 03/2024 Present
Doordash Frederick MD 06/2024 01/2025
  • 01/2013 → 01/2024
    The Prudential Insurance Company Of America
    Finksburg, MD
  • 01/2013 → 01/2024
    Finksburg, MD
  • 02/2024 → 03/2024
    Unemployed
    Columbia, MD
  • 03/2024 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 03/2024 → Present
    Cetera Investment Advisers
    Schaumburg, IL
  • 06/2024 → 01/2025
    Doordash
    Frederick, MD
Previous Registrations
  • 2014-06-30 → 2024-02-01
    North Bethesda, MD
    Finksburg, MD
    Frederick, MD
    Hunt Valley, MD
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: 02/2013 APX NUMBER OF HOURS PER WEEK: 20 APX NUMBER OF HOURS DURING TRADING HOURS:15 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS FIXED INSURANCE PRODUCTS 2. NAME OF OTHER BUSINESS: CONVERGENT FINANCIAL PARTNERS INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 02/2024 POSITION/TITLE/RELATIONSHIP: FINANCIAL PLANNER APX NUMBER OF HOURS PER WEEK: 50 APX NUMBER OF HOURS DURING TRADING HOURS: 32 BRIEF DESCRIPTION OF DUTIES: FINANCIAL ADVISING AND FINANCIAL PLANNING.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2014-06-20
S63 Uniform Securities Agent State Law Examination 2014-02-24
  • S65 Uniform Investment Adviser Law Examination
    2014-06-20
  • S63 Uniform Securities Agent State Law Examination
    2014-02-24

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