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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
NJ RA APPROVED 2024-02-02
  • NJ RA
    APPROVED
    Since 2024-02-02

Branch Locations

766 Shrewsbury Ave E, Ste. 302, Tinton Falls, NJ 07724 • 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
Buckman Buckman And Reid Little Silver NJ 11/2015 03/2018
Regal Securities Glenview IL 03/2018 01/2021
Regal Advisory Services Glenview IL 03/2018 01/2021
Lpl Financial, Llc San Diego CA 01/2021 09/2021
Newbridge Securities Corporation Sea Girt NJ 10/2021 01/2024
Newbridge Financial Services Group Inc Sea Girt NJ 10/2021 01/2024
Cetera Wealth Services, Llc El Segundo CA 01/2024 Present
Cetera Investment Advisers Llc Schaumburg IL 01/2024 Present
  • 11/2015 → 03/2018
    Buckman Buckman And Reid
    Little Silver, NJ
  • 03/2018 → 01/2021
    Regal Securities
    Glenview, IL
  • 03/2018 → 01/2021
    Regal Advisory Services
    Glenview, IL
  • 01/2021 → 09/2021
    San Diego, CA
  • 10/2021 → 01/2024
    Newbridge Securities Corporation
    Sea Girt, NJ
  • 10/2021 → 01/2024
    Newbridge Financial Services Group Inc
    Sea Girt, NJ
  • 01/2024 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 01/2024 → Present
    Schaumburg, IL
Previous Registrations
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: 10/2016; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 2; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SALES OF FIXED INSURANCE PRODUCTS; 2. NAME OF OTHER BUSINESS: BNI; INVESTMENT RELATED: NO; ADDRESS: CHARLOTTE, NC 28277; NATURE OF BUSINESS: NETWORKING GROUP; START DATE: 10/2023; POSITION/TITLE/RELATIONSHIP: VICE PRESIDENT; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: NONE; BRIEF DESCRIPTION OF DUTIES: WEEKLY REPORT ON GROUP ACTIVITIES; 3. NAME OF OTHER BUSINESS: ROSSO FINANCIAL GROUP; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 04/2018; POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 40; BRIEF DESCRIPTION OF DUTIES: PROVIDE FINANCIAL SERVICES AND GUIDANCE TO CLIENTS.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-08-04
  • S66 Uniform Combined State Law Examination
    2014-08-04
Other Names
  • Leslie Curran
  • Leslie Killeen Curran

View on SEC IAPD

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