Patricia Lee Tippin

Employer firm

Cetera Investment Advisers LLC CRD 105644

$257B regulatory AUM 24,019 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers

Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2023-03-22

FL RA
APPROVED

Since 2023-03-22

Branch Locations

6335 Us Hwy 19, New Port Richey, FL 34652 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy Yes
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Regions Bank	Brooksville	FL	07/2003	Present
Cetera Investment Services Llc	Saint Cloud	MN	12/2022	Present
Cetera Investment Advisers Llc	Brooksville	FL	03/2023	Present

07/2003 → Present

Regions Bank

Brooksville, FL
12/2022 → Present

Cetera Investment Services Llc

Saint Cloud, MN
03/2023 → Present

Cetera Investment Advisers Llc

Brooksville, FL

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2023-03-01

S66 Uniform Combined State Law Examination

2023-03-01

Other Names

Patricia Lee Caban

View on SEC IAPD