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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
OH RA APPROVED 2024-05-29
  • OH RA
    APPROVED
    Since 2024-05-29

Branch Locations

108 North Main Street Rear Building, Mansfield, OH 44902 • United States

Disclosures

1 disclosure category 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 No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Lincoln Financial Advisors Cleveland OH 02/2003 05/2024
Cetera Wealth Services, Llc El Segundo CA 05/2024 Present
Cetera Investment Advisers Llc Schaumburg IL 05/2024 Present
  • 02/2003 → 05/2024
    Lincoln Financial Advisors
    Cleveland, OH
  • 05/2024 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 05/2024 → Present
    Schaumburg, IL
Previous Registrations
  • 2003-02-27 → 2024-05-29
    Osaic Fa, Inc.
    Mansfield, OH
    Mansfield, OH
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: 10/1980; APX NUMBER OF HOURS PER WEEK: 3; APX NUMBER OF HOURS DURING TRADING HOURS: 3; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SALES OF FIXED INSURANCE PRODUCTS; 2. NAME OF OTHER BUSINESS: OHIOHEALTH MANSFIELD & SHELBY HOSPITALS; INVESTMENT RELATED: NO; ADDRESS: MANSFIELD, OH 44903; NATURE OF BUSINESS: HEALTHCARE / ADVISE ON COMMUNITY ENGAGEMENT OPPORTUNITIES AND OVERALL OPERATIONS OF THE LOCAL HOSPITAL; START DATE: 03/2024; POSITION/TITLE/RELATIONSHIP: GOVERNANCE COUNCIL MEMBER; APX NUMBER OF HOURS PER WEEK: LESS THAN 1; APX NUMBER OF HOURS DURING TRADING HOURS: NONE; BRIEF DESCRIPTION OF DUTIES: MAKE RECOMMENDATIONS TO HOSPITAL BOARD ON OVERALL OPERATIONS OF THE LOCAL HOSPITAL; 3. NAME OF OTHER BUSINESS: CITY OF MANSFIELD - CHARTER REVIEW COMMISSION; INVESTMENT RELATED: NO; ADDRESS: MANSFIELD, OH 44902; NATURE OF BUSINESS: REVIEWS OPERATIONS OF LOCAL GOVERNMENT; START DATE: 01/2024; POSITION/TITLE/RELATIONSHIP: COMMITTEE MEMBER; APX NUMBER OF HOURS PER WEEK: LESS THAN 1; APX NUMBER OF HOURS DURING TRADING HOURS: NONE; BRIEF DESCRIPTION OF DUTIES: ATTEND QUARTERLY MEETINGS AND PROVIDE RECOMMENDATIONS TO ELECTED OFFICIALS; 4. NAME OF OTHER BUSINESS: WEST END NEIGHBORHOOD SECTOR OF RICHLAND COMMUNITY DEVELOPMENT GROUP; INVESTMENT RELATED: NO; ADDRESS: MANSFIELD, OH 44902 NATURE OF BUSINESS: PROVIDE INPUT AND GUIDANCE ON DEVELOPMENT IN THE WEST END NEIGHBORHOOD' START DATE: 06/2019; POSITION/TITLE/RELATIONSHIP: COMMITTEE MEMBER; APX NUMBER OF HOURS PER WEEK: LESS THAN 1; APX NUMBER OF HOURS DURING TRADING HOURS: NONE; BRIEF DESCRIPTION OF DUTIES: PROVIDE INPUT AND FEEDBACK TO THE CITY'S DEVELOPMENT OFFICE WITH REGARD TO DEVELOPMENT SPECIFIC TO THE WEST END NEIGHBORHOOD IN MANSFIELD; 5. NAME OF OTHER BUSINESS: CLEVELAND FINANCIAL GROUP; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 03/2003; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 55; APX NUMBER OF HOURS DURING TRADING HOURS: 40; BRIEF DESCRIPTION OF DUTIES: FINANCIAL ADVISOR;

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1986-02-07
  • S63 Uniform Securities Agent State Law Examination
    1986-02-07
Designations

View on SEC IAPD

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