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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
MD RA APPROVED 2024-03-21
TX RA APPROVED_RES 2024-03-21
  • MD RA
    APPROVED
    Since 2024-03-21
  • TX RA
    APPROVED_RES
    Since 2024-03-21

Branch Locations

953 Mt Hermon Rd, Salisbury, MD 21804 • 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
Self-Employed Salisbury MD 01/1991 Present
Cetera Advisors Llc Denver CO 01/2013 Present
Comprehensive Financial Solutions Salisbury MD 07/2016 Present
Cetera Investment Advisers Llc Schaumburg IL 03/2024 Present
  • 01/1991 → Present
    Self-Employed
    Salisbury, MD
  • 01/2013 → Present
    Cetera Advisors Llc
    Denver, CO
  • 07/2016 → Present
    Comprehensive Financial Solutions
    Salisbury, MD
  • 03/2024 → Present
    Schaumburg, IL
Previous Registrations
  • 1998-07-29 → 2004-01-01
    Ifg Advisory Services Inc
    Salisbury, MD
Other Businesses

(1) NAME OF OTHER BUSINESS: CFS INC., DBA COMPREHENSIVE FINANCIAL SOLUTIONS INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 7/2016 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 POSITION/TITLE/RELATIONSHIP: MANAGING PARTNER BRIEF DESCRIPTION OF DUTIES: PRODUCING REP; 2. NAME OF OTHER BUSINESS: FRANK L BRITTINGHAM, LLC, INVESTMENT RELATED: NO, ADDRESS: 1 PINDERS COURT, BERLIN, MD 21811, NATURE OF BUSINESS: REAL ESTATE, START DATE: 09/2020 POSITION/TITLE/RELATIONSHIP: OWNER, APX NUMBER OF HOURS PER WEEK 1, APX NUMBER OF HOURS DURING TRADING HOURS: VARIES, BRIEF DESCRIPTION OF DUTIES: COLLECT RENT, REPAIR MAINTENANCE;

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1994-06-14
  • S63 Uniform Securities Agent State Law Examination
    1994-06-14

View on SEC IAPD

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