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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
DE RA APPROVED 2024-11-20
NJ RA APPROVED 2023-06-29
TX RA APPROVED 2023-06-29
  • DE RA
    APPROVED
    Since 2024-11-20
  • NJ RA
    APPROVED
    Since 2023-06-29
  • TX RA
    APPROVED
    Since 2023-06-29

Branch Locations

25A Vreeland Rd Ste 303, Florham Park, NJ 07932 • United States

Lewes, DE • 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: FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED: YES, POSITION/TITLE/RELATIONSHIP: REPRESENTATIVE, BRIEF DESCRIPTION OF DUTIES: SELLS FIXED LIFE, HEALTH, DISABILITY, ANNUITIES AND LONG TERM CARE; 2. NAME OF OTHER BUSINESS: PAUL CONTRERI, INVESTMENT RELATED: NO, ADDRESS: 25-A VREELAND RD. FLORHAM PARK, NJ 07932 NATURE OF BUSINESS: TAX RETURN PREPARATION FOR FRIENDS AND FAMILY FREE OF CHARGE, POSITION/TITLE/RELATIONSHIP: SOLE PROPRIETOR, APPROX. NUMBER OF HOURS PER YEAR: 6 HOURS, BRIEF DESCRIPTION OF DUTIES: HELP PREPARE FEDERAL AND STATE TAX RETURNS; 3. NAME OF OTHER BUSINESS: FINANCIAL NETWORK INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES POSITION/TITLE/RELATIONSHIP: AFFILIATED PERSON START DATE: 01/02/2013 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES 4. NAME OF OTHER BUSINESS: CODE PURPLE; INVESTMENT RELATED: NO; ADDRESS: 152 TULIP RIVE LEWES, DE 19958; NATURE OF BUSINESS: NON PROFIT; START DATE: 04/2024; POSITION/TITLE/RELATIONSHIP: VOLUNTEER; APX NUMBER OF HOURS PER WEEK: 6; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: HOMELESS SHELTER VOLUNTEER ;

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1988-04-06
  • S63 Uniform Securities Agent State Law Examination
    1988-04-06
Designations

View on SEC IAPD

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