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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
CO RA APPROVED 2024-03-21
TX RA APPROVED_RES 2023-02-13
CA RA APPROVED 2014-11-05
  • CO RA
    APPROVED
    Since 2024-03-21
  • TX RA
    APPROVED_RES
    Since 2023-02-13
  • CA RA
    APPROVED
    Since 2014-11-05

Branch Locations

655 W Broadway 12Th Fl, San Diego, CA 92101 • 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 Wealth Services, Llc El Segundo CA 12/2013 Present
Cetera Advisors Llc Denver CO 12/2013 Present
Cetera Financial Specialists Llc Schaumburg IL 12/2013 Present
Cetera Investment Services Llc St Cloud MN 12/2013 Present
Cetera Investment Advisers Llc Schaumburg IL 12/2013 Present
First Allied Securities, Inc. San Diego CA 02/2015 09/2022
Investors Capital Corp Lynnfield MA 02/2015 12/2016
Legend Equities Corporation Palm Beach Gardens FL 02/2015 12/2016
Summit Brokerage Services, Inc. Boca Raton FL 02/2015 Present
Girard Securities, Inc. San Diego CA 11/2015 11/2017
Vsr Financial Services, Inc. Overland Park KS 11/2015 12/2016
Cetera Investment Advisers Llc San Diego CA 03/2024 Present
  • 12/2013 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 12/2013 → Present
    Cetera Advisors Llc
    Denver, CO
  • 12/2013 → Present
    Cetera Financial Specialists Llc
    Schaumburg, IL
  • 12/2013 → Present
    Cetera Investment Services Llc
    St Cloud, MN
  • 12/2013 → Present
    Schaumburg, IL
  • 02/2015 → 09/2022
    First Allied Securities, Inc.
    San Diego, CA
  • 02/2015 → 12/2016
    Investors Capital Corp
    Lynnfield, MA
  • 02/2015 → 12/2016
    Legend Equities Corporation
    Palm Beach Gardens, FL
  • 02/2015 → Present
    Summit Brokerage Services, Inc.
    Boca Raton, FL
  • 11/2015 → 11/2017
    Girard Securities, Inc.
    San Diego, CA
  • 11/2015 → 12/2016
    Vsr Financial Services, Inc.
    Overland Park, KS
  • 03/2024 → Present
    San Diego, CA
Previous Registrations
Other Businesses

1. NAME OF OTHER BUSINESS: UA PROPERTIES, INVESTMENT RELATED: NO, ADDRESS:, NATURE OF BUSINESS: PERSONAL REAL ESTATE INVESTMENTS, START DATE: 06/2012, APX NUMBER OF HOURS PER WEEK: 2.5, APX NUMBER OF HOURS DURING TRADING HOURS: 2.5, BRIEF DESCRIPTION OF DUTIES: PURCHASE RESIDENTIAL REAL ESTATE PROPERTIES; 2. NAME OF OTHER BUSINESS: LEGATUS, INVESTMENT RELATED: NO, ADDRESS: P.O. BOX 444, ANN ARBOR, MI, 48106, NATURE OF BUSINESS: NON-PROFIT, START DATE: 01/2023, POSITION/TITLE/RELATIONSHIP: TREASURER, APX NUMBER OF HOURS PER WEEK: 2, APX NUMBER OF HOURS DURING TRADING HOURS: VARIES, BRIEF DESCRIPTION OF DUTIES: TRACK DUES AND EXPENSES, CHECK WRITING WITH DUAL CONTROL;

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2011-05-27
S65 Uniform Investment Adviser Law Examination 2007-02-16
  • S63 Uniform Securities Agent State Law Examination
    2011-05-27
  • S65 Uniform Investment Adviser Law Examination
    2007-02-16

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