Best Investors Account Sign in
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 2024-03-21
TX RA APPROVED 2024-03-21
  • PA RA
    APPROVED
    Since 2024-03-21
  • TX RA
    APPROVED
    Since 2024-03-21

Branch Locations

Philadelphia, PA • United States

Prism Financial Group, Llc

Wallingford, PA • United States

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2018-04-12
PA RA APPROVED 2008-10-22
  • NJ RA
    APPROVED
    Since 2018-04-12
  • PA RA
    APPROVED
    Since 2008-10-22

Branch Locations

Wallingford, PA • 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 Advisors Llc Denver CO 01/2013 Present
Prism Financial Group, Llc Philadelphia PA 08/1993 Present
Cetera Investment Advisers Llc Schaumburg IL 03/2024 Present
Other Businesses

1.PRISM FINANCIAL GROUP INC, REGISTERED INVESTMENT ADVISOR, START 1993 AND FIXED INSURANCE 2. NAVY LEAGUE OF THE US PHILA. COUNCIL,45 GROVE ST FLOURTOWN, PA 19031,2HR/WK, TREASURER, SUPPORT ACTIVE DUTY SOLDIER 3. FORT MIFFLIN ON THE DELAWARE, MEMBER, BOARD OF DIRECTORS, START 11/2023, 4HR/WK, 1 FORT MIFFLIN RD PHILA PA 19153

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1992-05-29
S63 Uniform Securities Agent State Law Examination 1987-02-03
  • S65 Uniform Investment Adviser Law Examination
    1992-05-29
  • S63 Uniform Securities Agent State Law Examination
    1987-02-03
Designations

View on SEC IAPD

More in Philadelphia, PA

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor