Lesley Huberman Sommers

Current Employers

Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2023-06-29
TX	RA	APPROVED_RES	2023-06-29

NY RA
APPROVED

Since 2023-06-29
TX RA
APPROVED_RES

Since 2023-06-29

Branch Locations

120 White Plains Rd Suite 125, Tarrytown, NY 10591 • 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

Organization	City	State	From	To
Cetera Wealth Services, Llc	El Segundo	CA	09/2013	Present
Cetera Investment Advisers Llc	Schaumburg	IL	06/2023	Present

09/2013 → Present

Cetera Wealth Services, Llc

El Segundo, CA
06/2023 → Present

Cetera Investment Advisers Llc

Schaumburg, IL

Previous Registrations

1997-02-26 → 2003-01-23

Nathan & Lewis Securities, Inc.

New City, NY

Other Businesses

1. INDEPENDENT INSURANCE AGENT SELLING FIXED ANNUITIES, LIFE, ACCIDENT, HEALTH, LTC IN TARRYTOWN, NY FOR 1 WKDY/HR/WK SINCE 1/2010. 2. NAME OF OTHER BUSINESS: DBA SOMMERS FINANCIAL GROUP, INC. INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED NATURE OF BUSINESS: DBA FOR MARKETING & FIXED INSURANCE START DATE: 03/1997 POSITION/TITLE/RELATIONSHIP: PRESIDENT APX NUMBER OF HOURS PER WEEK: 40+ APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: DBA FOR FIXED INSURANCE.

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1986-05-06

S63 Uniform Securities Agent State Law Examination

1986-05-06

Designations

View on SEC IAPD