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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
TN RA APPROVED 2023-06-29
  • TN RA
    APPROVED
    Since 2023-06-29

Branch Locations

413 Northshore Dr, Knoxville, TN 37919 • 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
Purshe Kaplan Sterling Investments Albany NY 02/2022 04/2023
49 Financial Atlanta GA 02/2022 04/2023
Thrivent Advisor Network Dba 49 Financial Atlanta GA 02/2022 12/2022
Unemployed Knoxville TN 12/2021 02/2022
University Of Georgia Athens GA 08/2021 12/2021
Shoot Point Blank Knoxville TN 06/2021 08/2021
University Of Georgia Athens GA 08/2017 05/2021
Full-Time Education Knoxville TN 08/2008 08/2017
Cetera Wealth Services, Llc El Segundo CA 04/2023 Present
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
  • 02/2022 → 04/2023
    Purshe Kaplan Sterling Investments
    Albany, NY
  • 02/2022 → 04/2023
    Atlanta, GA
  • 02/2022 → 12/2022
    Thrivent Advisor Network Dba 49 Financial
    Atlanta, GA
  • 12/2021 → 02/2022
    Unemployed
    Knoxville, TN
  • 08/2021 → 12/2021
    University Of Georgia
    Athens, GA
  • 06/2021 → 08/2021
    Shoot Point Blank
    Knoxville, TN
  • 08/2017 → 05/2021
    University Of Georgia
    Athens, GA
  • 08/2008 → 08/2017
    Full-Time Education
    Knoxville, TN
  • 04/2023 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 06/2023 → Present
    Schaumburg, IL
Previous Registrations
  • 2023-03-15 → 2023-04-18
    Austin, TX
    Atlanta, GA
Other Businesses

1) NAME OF OTHER BUSINESS: PREMIER PICKLEBALL OF KNOXVILLE, LLC; INVESTMENT RELATED: NO ; ADDRESS: 10001 KINGSTON PIKE KNOXVILLE, TN 37922; NATURE OF BUSINESS: PICKLEBALL CLUB; START DATE: 06/2024; POSITION/TITLE/RELATIONSHIP: MEMBER/OWNER; APX NUMBER OF HOURS PER WEEK: LESS THAN 1; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1; BRIEF DESCRIPTION OF DUTIES: PROVIDE THE BEST PICKLEBALL EXPERIENCE, ASSIST WITH FINANCIAL DECISIONS; 2) NAME OF OTHER BUSINESS: MILLENNIUM WEALTH MANAGEMENT; INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 9/2024, POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2023-03-13
S63 Uniform Securities Agent State Law Examination 2022-01-11
  • S65 Uniform Investment Adviser Law Examination
    2023-03-13
  • S63 Uniform Securities Agent State Law Examination
    2022-01-11

View on SEC IAPD

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