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

Branch Locations

3478 Buskirk Ave Suite 270, Pleasant Hill, CA 94523 • 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
Cetera Advisors Llc Denver CO 01/2012 Present
Cetera Investment Advisers Llc Schaumburg IL 03/2024 Present
Previous Registrations
  • 2007-08-21 → 2007-12-31
    Concourse Financial Group Securities, Inc.
    Walnut Creek, CA
    Sugar Land, TX
    Walnut Creek, CA
  • 2001-05-09 → 2007-07-17
    Legacy Advisory Services, Inc.
    Pittsburg, CA
Other Businesses

1.FIXED INSURANCE AGENT 2.NOTARY PUBLIC, 221 BUBBLING BROOK WAY PITTSBURG CA 99565 3.RETIREMENT LIFE-STYLE COACHING, SAME AS OFFICE ADDRESS, OWNER, 10-15HR/WK, FEES 4. NAME OF OTHER BUSINESS: RETIREMENT WEALTH AND TAX ADVISORS (RWTA) ; INVESTMENT RELATED: YES ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: FINANCIAL SERVICES ; START DATE: 12/2007 ; POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL ; APX NUMBER OF HOURS PER WEEK: 15 ; APX NUMBER OF HOURS DURING TRADING HOURS: 15 ; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES ; 5. NAME OF OTHER BUSINESS: JOYCE HOWELL, INVESTMENT RELATED: NO, ADDRESS: SAME AS RESIDENTIAL ADDRESS, NATURE OF BUSINESS: ESTATE PLANNING DOCUMENTS, START DATE: 01/2001, POSITION/TITLE/RELATIONSHIP: ESTATE PLAN CONSULTANT, APX NUMBER OF HOURS PER WEEK: 6, APX NUMBER OF HOURS DURING TRADING HOURS: VARIES, BRIEF DESCRIPTION OF DUTIES: GATHERS DATA FOR ESTATE PLAN DOCUMENTS THEN FORWARDED TO AN ATTORNEY;

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-01-24
S63 Uniform Securities Agent State Law Examination 1992-01-31
  • S65 Uniform Investment Adviser Law Examination
    1997-01-24
  • S63 Uniform Securities Agent State Law Examination
    1992-01-31
Other Names
  • Joyce J. Joyner
  • Joyner

View on SEC IAPD

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