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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
PA RA APPROVED 2023-06-29
  • PA RA
    APPROVED
    Since 2023-06-29

Branch Locations

227 Franklin Street Ste 302, Johnstown, PA 15901 • United States

Disclosures

3 disclosure categories 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 Yes
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination Yes
Employment History
OrganizationCityStateFromTo
Feeder Canal Associates Johnstown PA 11/1999 Present
Investment Advisor Johnstown PA 02/2007 Present
Voya Financial Advisors Johnstown PA 09/2014 06/2021
Cetera Wealth Services, Llc El Segundo CA 06/2021 Present
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
  • 11/1999 → Present
    Feeder Canal Associates
    Johnstown, PA
  • 02/2007 → Present
    Investment Advisor
    Johnstown, PA
  • 09/2014 → 06/2021
    Voya Financial Advisors
    Johnstown, PA
  • 06/2021 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 06/2023 → Present
    Schaumburg, IL
Previous Registrations
  • 2004-01-01 → 2021-06-09
    Williamsport, PA
    Johnstown, PA
    Windsor, CT
  • 2002-04-25 → 2004-01-01
    Locust Street Securities, Inc.
    Johnstown, PA
Other Businesses

NAME OF ENTITY:WESTMONT BOROUGH COUNCIL; No; 1000 LUZERNE ST; JOHNSTOWN; PA; 15905; TOWN COUNCIL; PRESIDENT; 1/10/2001; 3; 0; FACILITATE DISCUSSION AND COMMUNICATIOIN BETWEEN COUNCILORS,PUBLIC AND EMPLOYEES|NAME OF ENTITY:Investment Advisor Representative; Yes; SAME AS REGISTERED LOCATION; Financial Planning; IAR; 2/15/2007; 180; 180; Financial Planning|NAME OF ENTITY: Independent Insurance Agent; Yes; SAME AS REGISTERED LOCATION; Fixed Insurance Sales; Independent Insurance Agent; 2/15/200D#7; 180; 180; Sales of Fixed Insurance Products|NAME OF ENTITY:Liberty Grace Bretheren Church; No; PO BOX 5228; JOHNSTOWN; PA; 15904; church; leadership team; 1/1/2008; 3; 3; on leadership team to teach and lead small groups within the church|NAME OF ENTITY: Centennial Financial Group, LLC; Yes; SAME AS REGISTERED LOCATION; Financial Services/DBA; owner; 2/1/1991; 160; 160; SALE & SERVICE FIXED INSURANCE,SECURITIES,INVESTMENT PRODUCTS.|NAME OF ENTITY:Greater Johnstown Water Authority; No; 640 Franklin St.; Johnstown; PA; 15901; water authority provides potable water to the citizens of Johnstown and surrounding neighborhoods; Chairman; 5/3/2018; 2; 1; facilitate meetings, set and run agenda, make decisions designed to be in the rate payer's interest|

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1987-02-12
  • S63 Uniform Securities Agent State Law Examination
    1987-02-12
Designations

View on SEC IAPD

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