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

Branch Locations

1758 Penfield Rd, Penfield, NY 14526 • 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
Oak Hill Country Club Rochester NY 08/2015 10/2020
Lake Nona Golf And Country Club Lake Nona FL 10/2015 06/2018
Old Memorial Golf Club Tampa FL 10/2018 03/2019
Maidstone Coffee Co Rochester NY 03/2019 04/2019
Bob O Link Golf Club Highland Park IL 05/2019 11/2019
Independent Contractor Lake Zurich IL 11/2019 03/2020
Wegmans Rochester NY 11/2020 01/2021
Allstate Insurance Rochester NY 02/2021 11/2021
Manufacturers And Traders Bank Buffalo NY 11/2021 01/2023
Cetera Advisors St Cloud MN 07/2022 12/2022
Cetera Advisors Llc St Cloud MN 12/2022 Present
Prescott'S Provisions/Don Benoit Tonawanda NY 02/2022 08/2025
Cetera Investment Advisers Llc Schaumburg IL 03/2024 Present
Rocky Point Real Estate Inlet NY 05/2024 Present
  • 08/2015 → 10/2020
    Oak Hill Country Club
    Rochester, NY
  • 10/2015 → 06/2018
    Lake Nona Golf And Country Club
    Lake Nona, FL
  • 10/2018 → 03/2019
    Old Memorial Golf Club
    Tampa, FL
  • 03/2019 → 04/2019
    Maidstone Coffee Co
    Rochester, NY
  • 05/2019 → 11/2019
    Bob O Link Golf Club
    Highland Park, IL
  • 11/2019 → 03/2020
    Independent Contractor
    Lake Zurich, IL
  • 11/2020 → 01/2021
    Wegmans
    Rochester, NY
  • 02/2021 → 11/2021
    Allstate Insurance
    Rochester, NY
  • 11/2021 → 01/2023
    Manufacturers And Traders Bank
    Buffalo, NY
  • 07/2022 → 12/2022
    Cetera Advisors
    St Cloud, MN
  • 12/2022 → Present
    Cetera Advisors Llc
    St Cloud, MN
  • 02/2022 → 08/2025
    Prescott'S Provisions/Don Benoit
    Tonawanda, NY
  • 03/2024 → Present
    Schaumburg, IL
  • 05/2024 → Present
    Rocky Point Real Estate
    Inlet, NY
Other Businesses

1. NAME OF OTHER BUSINESS: PENFIELD FINANCIAL GROUP, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 08/2022, 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; 2. NAME OF OTHER BUSINESS: ROCKY POINT REAL ESTATE; INVESTMENT RELATED: NO; ADDRESS: 21 ROCKY POINT LANE INLET, NY ; NATURE OF BUSINESS: REAL ESTATE; START DATE: 05/2024; POSITION/TITLE/RELATIONSHIP: REAL ESTATE AGENT; APX NUMBER OF HOURS PER WEEK: 3; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: AGENT FOR RESIDENTIAL REAL ESTATE PROPERTIES;

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2023-07-17
S63 Uniform Securities Agent State Law Examination 2023-05-25
  • S65 Uniform Investment Adviser Law Examination
    2023-07-17
  • S63 Uniform Securities Agent State Law Examination
    2023-05-25

View on SEC IAPD

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