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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
TX RA APPROVED_RES 2026-06-11
NY RA APPROVED 2024-08-22
  • TX RA
    APPROVED_RES
    Since 2026-06-11
  • NY RA
    APPROVED
    Since 2024-08-22

Branch Locations

New York, NY • 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
Planmember Securities Corporation Carpinteria CA 08/2014 07/2024
Life Plan Wealth Management New Haven CT 08/2014 10/2018
Life Plan Insurance Outlet New Haven CT 08/2014 10/2018
Jungshim New York Ki Energy Center New York NY 01/1998 Present
L.A.S. Financial Consulting Llc New York NY 06/2009 Present
Cetera Wealth Services, Llc El Segundo CA 07/2024 Present
Cetera Investment Advisers Llc Schaumburg IL 07/2024 Present
  • 08/2014 → 07/2024
    Carpinteria, CA
  • 08/2014 → 10/2018
    Life Plan Wealth Management
    New Haven, CT
  • 08/2014 → 10/2018
    Life Plan Insurance Outlet
    New Haven, CT
  • 01/1998 → Present
    Jungshim New York Ki Energy Center
    New York, NY
  • 06/2009 → Present
    L.A.S. Financial Consulting Llc
    New York, NY
  • 07/2024 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 07/2024 → Present
    Schaumburg, IL
Previous Registrations
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: 09/2004 APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 0 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS FIXED INSURANCE PRODUCTS 2. NAME OF OTHER BUSINESS: JUNGSHIM NEW YORK KI ENERGY CENTER INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: NATURAL AND HOLISTIC INTEGRATIVE MEDICINE START DATE: 01/1998 POSITION/TITLE/RELATIONSHIP: DIRECTOR AND TREASURER APX NUMBER OF HOURS PER WEEK: 8 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: ACUPUNCTURE WITHOUT NEEDLES, NUTRITIONAL DIET, MUSCULOSKELETAL ALIGNMENT THERAPY, HOMEOPATHY 3. NAME OF OTHER BUSINESS: L.A.S. FINANCIAL CONSULTING LLC INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 06/2009 POSITION/TITLE/RELATIONSHIP: PRESIDENT APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: PROVIDE FINANCIAL SERVICES

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2008-12-08
  • S63 Uniform Securities Agent State Law Examination
    2008-12-08

View on SEC IAPD

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