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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
CT RA APPROVED 2023-06-21
  • CT RA
    APPROVED
    Since 2023-06-21

Branch Locations

555 Long Wharf Drive 11Th Floor, New Haven, CT 06511 • 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
Guardian Life Insurance Company New Haven CT 05/2022 10/2022
Student Hamden CT 06/2000 05/2022
Park Avenue Securities Llc New Haven CT 01/2023 03/2023
Wooster Square Advisors New Haven CT 04/2023 Present
Cetera Wealth Services, Llc El Segundo CA 04/2023 Present
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
  • 05/2022 → 10/2022
    Guardian Life Insurance Company
    New Haven, CT
  • 06/2000 → 05/2022
    Student
    Hamden, CT
  • 01/2023 → 03/2023
    Park Avenue Securities Llc
    New Haven, CT
  • 04/2023 → Present
    Wooster Square Advisors
    New Haven, CT
  • 04/2023 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 06/2023 → Present
    Schaumburg, IL
Other Businesses

1. NAME OF OTHER BUSINESS: WOOSTER SQUARE ADVISORS; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES / WEALTH MANAGEMENT; START DATE: 04/2023; POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL; APX NUMBER OF HOURS PER WEEK: 50; APX NUMBER OF HOURS DURING TRADING HOURS: 30; BRIEF DESCRIPTION OF DUTIES: ESTABLISHING FINANCIAL PLANS, SERVICING CLIENT ACCOUNTS, AND ALLOCATING INVESTMENTS ACROSS MULTIPLE INVESTMENT DISCIPLINES. 2. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 07/2023; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SALES OF FIXED INSURANCE PRODUCTS;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-06-20
  • S66 Uniform Combined State Law Examination
    2023-06-20

View on SEC IAPD

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