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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
AZ RA APPROVED 2023-06-29
TX RA APPROVED_RES 2023-06-29
  • AZ RA
    APPROVED
    Since 2023-06-29
  • TX RA
    APPROVED_RES
    Since 2023-06-29

Branch Locations

5993 E. Grant Rd, Tucson, AZ 85712 • 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 No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Cetera Wealth Services, Llc El Segundo CA 01/2013 Present
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
Other Businesses

1. NAME OF OTHER BUSINESS: DAVID B. HAMMOND INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED NATURE OF BUSINESS: NOTARY START DATE: 09/26/1991 POSITION/TITLE/RELATIONSHIP: NOTARY APX NUMBER OF HOURS PER WEEK: LESS THAN 1 HOUR APX NUMBER OF HOURS DURING TRADING HOURS: VARIES BRIEF DESCRIPTION OF DUTIES: NOTARIZE DOCUMENTS WHEN NECESSARY. 2. NAME OF OTHER BUSINESS: HAMMOND & ASSOCIATES; INVESTMENT RELATED: NO; ADDRESS: 5993 E GRANT ROAD, TUCSON, AZ 85712; NATURE OF BUSINESS: OFFICE BUILDING SIGNAGE; START DATE: 09/1995; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 60; APX NUMBER OF HOURS DURING TRADING HOURS: 60; BRIEF DESCRIPTION OF DUTIES: NONE, SIGNAGE ON OFFICE BUILDING; 3.NAME OF OTHER BUSINESS: OLD FARM EXECUTIVE PARK; INVESTMENT RELATED: NO; ADDRESS: 5987-6151 E. GRANT RD TUCSON AZ 85712; NATURE OF BUSINESS: HOMEOWNERS ASSOCIATION; START DATE: 9/2010 POSITION/TITLE/RELATIONSHIP: SECRETARY; APX NUMBER OF HOURS PER WEEK: 0; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: ATTEND MEETINGS AND VOTE ON AGENDA ITEMS; 4. NAME OF OTHER BUSINESS: DKH PROPERTIES I LLC & DHK PROPERTIES II LLC; INVESTMENT RELATED: NO; ADDRESS: 5993 E. GRANT RD TUCSON AZ 85712; NATURE OF BUSINESS: REAL ESTATE; START DATE:11/2019 POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 0; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: OWNER OCCUPIED OFFICE BUILDING AND LEASED RENTAL BUILDING;

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1983-06-07
  • S63 Uniform Securities Agent State Law Examination
    1983-06-07
Designations

View on SEC IAPD

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