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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
AZ RA APPROVED 2023-06-29
TX RA APPROVED 2023-06-29
  • AZ RA
    APPROVED
    Since 2023-06-29
  • TX RA
    APPROVED
    Since 2023-06-29

Branch Locations

3573 E. Sunrise Drive Suite 133, Tucson, AZ 85718 • United States

Tucson, AZ • 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
First Financial Equity Corporation Scottsdale AZ 04/2016 04/2022
Cetera Wealth Services, Llc El Segundo CA 04/2022 Present
Dkgb Financial Tucson AZ 08/2016 Present
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
  • 04/2016 → 04/2022
    First Financial Equity Corporation
    Scottsdale, AZ
  • 04/2022 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 08/2016 → Present
    Dkgb Financial
    Tucson, AZ
  • 06/2023 → Present
    Schaumburg, IL
Previous Registrations
  • 2016-05-05 → 2022-04-20
    Ffec Wealth Partners Llc
    Scottsdale, AZ
    Tucson, AZ
  • 2014-01-24 → 2016-06-17
    Tucson, AZ
Other Businesses

1. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 08/1974; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: NONE; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SELLS HEALTH; 2. NAME OF OTHER BUSINESS: FFEC WEALTH PARTNERS; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 04/2022; POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL; APX NUMBER OF HOURS PER WEEK: 50; APX NUMBER OF HOURS DURING TRADING HOURS: 32; BRIEF DESCRIPTION OF DUTIES: SECURITIES AND INSURANCE AND RELATED FINANCIAL SERVICES; 3. NAME OF OTHER BUSINESS: DKGB FINANCIAL; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 08/2016; POSITION/TITLE/RELATIONSHIP: MANAGING PARTNER; APX NUMBER OF HOURS PER WEEK: 50; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: FINANCIAL SERVICES; 4. NAME OF OTHER BUSINESS: LIFE SETTLEMENT BUSINESS INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: LIFE SETTLEMENT START DATE: 06/2022 APX NUMBER OF HOURS PER WEEK: VARIES APX NUMBER OF HOURS DURING TRADING HOURS: VARIES POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE SETTLEMENTS THROUGH WELCOME FUNDS, INC;

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1986-03-05
  • S63 Uniform Securities Agent State Law Examination
    1986-03-05
Designations

View on SEC IAPD

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