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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
PA RA APPROVED 2020-11-12
  • PA RA
    APPROVED
    Since 2020-11-12

Branch Locations

146 Market Street, Leechburg, PA 15656 • 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
Sagepoint Financial, Inc New Kensington PA 01/2009 06/2019
First Allied Securities, Inc. San Diego CA 06/2019 09/2022
First Allied Advisory Services, Inc. San Diego CA 06/2019 11/2020
First Allied Advisory Services Schaumburg IL 11/2020 09/2022
Cetera Advisors Llc Leechburg PA 09/2022 Present
Vip Financial Matters, Llc Leechburg PA 07/2025 Present
Cetera Investment Advisers Llc Schaumburg IL 11/2020 Present
  • 01/2009 → 06/2019
    Sagepoint Financial, Inc
    New Kensington, PA
  • 06/2019 → 09/2022
    First Allied Securities, Inc.
    San Diego, CA
  • 06/2019 → 11/2020
    First Allied Advisory Services, Inc.
    San Diego, CA
  • 11/2020 → 09/2022
    First Allied Advisory Services
    Schaumburg, IL
  • 09/2022 → Present
    Cetera Advisors Llc
    Leechburg, PA
  • 07/2025 → Present
    Vip Financial Matters, Llc
    Leechburg, PA
  • 11/2020 → Present
    Schaumburg, IL
Previous Registrations
  • 2019-06-05 → 2020-11-12
    First Allied Advisory Services, Inc.
    Leechburg, PA
  • 2014-01-15 → 2019-06-10
    Osaic Services, Inc.
    Leechburg, PA
Other Businesses

1) DICOLA FINANCIAL SERVICES DBA DICOLA INSURANCE AND FINANCIAL SERVICES, INC.; OWNER; INSURANCE (FIXED/LIFE/HEALTH/P&C); START DATE: 01/01/2005; 12 HOURS PER MONTH. 2) CAPITAL WASTE AND RECYCLING SERVICES, LLC; MEMBER; OTHER; START DATE: 08/01/2014; 0 HOURS PER MONTH. 3) BOB DICOLA MUSICIAN; MUSICIAN; OTHER; START DATE: 05/01/2010; 20 HOURS PER MONTH. 4) NAME OF OTHER BUSINESS: VIP FINANCIAL MATTERS, LLC; INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 7/2025;, POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1983-08-11
  • S63 Uniform Securities Agent State Law Examination
    1983-08-11
Designations

View on SEC IAPD

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