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

Branch Locations

New York, NY • 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 09/2013 Present
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
Previous Registrations
  • 1996-01-25 → 2003-01-28
    Nathan & Lewis Securities, Inc.
    New York, NY
Other Businesses

INDEPENDENT INSURANCE AGENT-DISABILITY, LIFE/ACCIDENT/HEALTH, LONG-TERM CARE, MEDICARE RELATED PRODUCTS GRANDFATHERED FROM NATHAN & LEWIS SECURITIES BEGAN 01/1990, 0HRS ACTIVITY

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2001-05-23
S63 Uniform Securities Agent State Law Examination 1982-11-01
  • S66 Uniform Combined State Law Examination
    2001-05-23
  • S63 Uniform Securities Agent State Law Examination
    1982-11-01

View on SEC IAPD

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