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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 2025-05-14
  • CT RA
    APPROVED
    Since 2025-05-14

Branch Locations

15 N Main St Ste 101, West Hartford, CT 06107 • 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 Yes
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Spc Ann Arbor MI 05/2011 05/2025
Parkland Securities Ann Arbor MI 08/2014 05/2025
Cetera Financial Specialists Llc Schaumburg IL 05/2025 Present
Cetera Investment Advisers Llc Schaumburg IL 05/2025 Present
  • 05/2011 → 05/2025
    Ann Arbor, MI
  • 08/2014 → 05/2025
    Parkland Securities
    Ann Arbor, MI
  • 05/2025 → Present
    Cetera Financial Specialists Llc
    Schaumburg, IL
  • 05/2025 → Present
    Schaumburg, IL
Previous Registrations
  • 2011-05-02 → 2025-05-13
    Ann Arbor, MI
    West Hartford, CT
    West Hartford, CT
    West Hartford, CT
  • 2009-09-01 → 2011-05-04
    Ohanesian / Lecours, Inc.
    West Hartford, CT
    West Hartford, CT
    West Hartford, CT
  • 1999-07-10 → 2009-09-09
    New England Securities
    West Hartford, CT
    West Hartford, CT
    Agawam, MA
    West Hartford, CT
Other Businesses

1) RECEIVE RENEWAL REVENUE ON LIFE INSURANCE CONTRACTS, NOT INVESTMENT RELATED, 5H/WEEK, SINCE 11/1972 2) GENT FINANCIAL GROUP, INVESTMENT RELATED, ADDRESS SAME AS REGISTERED BRANCH, MANAGING MEMBER, CHIEF OPERATING OFFICER, OWNER, PROVIDE FINANCIAL SERVICES, SECURITIES, INSURANCE, LIFE, HEALTH AND ANNUITIES, SINCE 09/2006, 16H/WEEK. 3) NAME OF OTHER BUSINESS: WEST HARTFORD WEALTH MANAGEMENT GROUP, LLC; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL AND INSURANCE SERVICES; START DATE: 01/2015; POSITION/TITLE/RELATIONSHIP: MEMBER; APX NUMBER OF HOURS PER WEEK: 4; APX NUMBER OF HOURS DURING TRADING HOURS: 4; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL AND INSURANCE SERVICES; 4) RON ROLEY FOUNDATION, NOT INVESTMENT RELATED, WEST HARTFORD, CT, VOLUNTARY BOARD MEMBER, CHARITABLE ORGANIZATION, PROMOTE PUBLIC AWARENESS FOR PANCREATIC CANCER, SINCE 10/2009, 1H/WEEK. 5) 15 NORTH MAIN ASSOCIATES, LLC, INVESTMENT RELATED, ADDRESS SAME AS REGISTERED BRANCH, PART OWNER, MANAGING MEMBER, REAL ESTATE OWNERSHIP LLC, SINCE 07/2014, 1H/WEEK. 6) AMERICAN SCHOOL FOR THE DEAF, NOT INVESTMENT RELATED, WEST HARTFORD, BOARD MEMBER-EMERITUS, EDUCATIONAL PROGRAMS AND SERVICES FOR DEAF AND HARD-OF-HEARING STUDENTS, 0H/WEEK, SINCE 11/2013 7) NOTARY PUBLIC, NOT INVESTMENT RELATED, ADDRESS SAME AS REGISTERED BRANCH, NOTARY PUBLIC, NOTARIZE DOCUMENTS, OWNER, .01H/WEEK, SINCE 08/1981. 8) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 8/2025; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SELL LIFE, DISABILITY AND ANNUITIES; 9) NAME OF OTHER BUSINESS: LIFE SETTLEMENT BUSINESS; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: LIFE SETTLEMENT; START DATE: 08/2025; APX NUMBER OF HOURS PER WEEK: VARIES; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: LIFE SETTLEMENTS WITH CETERA APPROVED VENDORS

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-05-12
S63 Uniform Securities Agent State Law Examination 1986-06-02
  • S65 Uniform Investment Adviser Law Examination
    1998-05-12
  • S63 Uniform Securities Agent State Law Examination
    1986-06-02
Designations

View on SEC IAPD

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