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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
TX RA APPROVED 2025-02-14
NY RA APPROVED 2023-06-29
  • TX RA
    APPROVED
    Since 2025-02-14
  • NY RA
    APPROVED
    Since 2023-06-29

Branch Locations

21 Bennetts Rd Suite 201, Setauket, NY 11733 • United States

Branch Financial Services, Inc.

21 Bennetts Road Suite 201, Setauket, NY 11733 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-05-05
  • NY RA
    APPROVED
    Since 2021-05-05

Branch Locations

21 Bennetts Road Suite 201, Setauket, NY 11733 • 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
Branch Financial Services, Inc. Setauket NY 01/2011 Present
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
Other Businesses

1. CHAIRMAN OF VILLAGE PLANNING BOARD, HARBOR, NY, 2 HOURS SECURITIES, 2 HOURS NON SECURITIES, SINCE 5/2004; 2. BRANCH FINANCIAL SERVICES, INC., INVESTMENT RELATED, SAME AS REGISTERED ADDRESS, DBA NAME FOR FINANCIAL SERVICES, START 02/25/1995, 40HRS/WK (32.5 TRADING HOURS), REGISTERED REPRESENTATIVE, INVESTMENT ADVISOR REPRESENTATIVE; 3. NAME OF OTHER BUSINESS: BRANCH FINANCIAL SERVICES, INC. INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: ADVISORY BUSINESS POSITION/TITLE/RELATIONSHIP: ADVISORY REPRESENTATIVE START DATE: 2011 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: FINANCIAL PLANNING ONLY 4. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 10/1974; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SALES OF FIXED INSURANCE PRODUCTS;

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1996-04-12
  • S63 Uniform Securities Agent State Law Examination
    1996-04-12
Designations

View on SEC IAPD

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