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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 2024-03-21
  • WA RA
    APPROVED
    Since 2024-03-21

Branch Locations

2101 4Th Ave Ste 1820, Seattle, WA 98121 • United States

Woodinville, WA • 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
Lpl Financial, Llc Seattle WA 01/2014 05/2023
Financial Advocates Investment Management Seattle WA 10/2015 05/2023
Cetera Advisors Llc St Cloud MN 05/2023 Present
Ronin Wealth Management Seattle WA 03/2023 Present
Venable Financial Pllc Seattle WA 01/2018 Present
Cetera Investment Advisers Llc Schaumburg IL 03/2024 Present
  • 01/2014 → 05/2023
    Seattle, WA
  • 10/2015 → 05/2023
    Financial Advocates Investment Management
    Seattle, WA
  • 05/2023 → Present
    Cetera Advisors Llc
    St Cloud, MN
  • 03/2023 → Present
    Ronin Wealth Management
    Seattle, WA
  • 01/2018 → Present
    Venable Financial Pllc
    Seattle, WA
  • 03/2024 → Present
    Schaumburg, IL
Previous Registrations
  • 2015-10-08 → 2023-05-11
    Financial Advocates Investment Management
    Seattle, WA
    Olympia, WA
    Kirkland, WA
  • 2014-02-27 → 2016-09-08
    Seattle, WA
    Seattle, WA
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: 04/2014, APX NUMBER OF HOURS PER WEEK: 2, NOT DURING TRADING HOURS, POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT , BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, DISABILITY, FIXED ANNUITIES AND LONG-TERM CARE; 2. NAME OF OTHER BUSINESS: RONIN WEALTH MANAGEMENT, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 03/2023, POSITION/TITLE/RELATIONSHIP: PART OWNER, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 8, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 3. NAME OF OTHER BUSINESS: VENABLE FINANCIAL PLLC, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: EXPENSE MANAGEMENT, START DATE: 01/2018, POSITION/TITLE/RELATIONSHIP: OWNER, LESS THAN ONE HOUR PER WEEK, NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: TAX AND EXPENSE MANAGEMENT;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-02-26
  • S66 Uniform Combined State Law Examination
    2014-02-26

View on SEC IAPD

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