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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
CO RA APPROVED 2023-06-29
TX RA APPROVED_RES 2023-06-29
  • CO RA
    APPROVED
    Since 2023-06-29
  • TX RA
    APPROVED_RES
    Since 2023-06-29

Branch Locations

5655 S Yosemite Ste 300, Greenwood Village, CO 80111 • United States

Highlands Ranch, CO • United States

Disclosures

4 disclosure categories 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 Yes
  • Criminal Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination Yes
Employment History
OrganizationCityStateFromTo
First Financial Equity Corporation Scottsdale AZ 08/2006 04/2022
Cetera Wealth Services, Llc El Segundo CA 04/2022 Present
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
  • 08/2006 → 04/2022
    First Financial Equity Corporation
    Scottsdale, AZ
  • 04/2022 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 06/2023 → Present
    Schaumburg, IL
Previous Registrations
  • 2017-01-04 → 2022-04-20
    Ffec Wealth Partners Llc
    Greenwood Village, CO
    Scottsdale, AZ
  • 2005-07-21 → 2006-08-17
    Denver, CO
    Minneapolis, MN
    Denver, CO
  • 2005-05-17 → 2005-07-07
    Denver, CO
  • 1999-03-04 → 2005-05-19
    Stanford Group Company
    Denver, CO
Other Businesses

1. NAME OF OTHER BUSINESS: RENTAL PROPERTY, HENDERSON CO INVESTMENT RELATED: NO ADDRESS: HIGHLANDS RANCH, CO 80126 NATURE OF BUSINESS: RENTAL PROPERTY START DATE: 10/1993 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 1 BRIEF DESCRIPTION OF DUTIES: MAINTENANCE; 2. NAME OF OTHER BUSINESS: GOLDENBLUFFS LLC INVESTMENT RELATED: NO ADDRESS: LAKEWOOD, CO 80228 NATURE OF BUSINESS: REAL ESTATE START DATE: 4/2015 POSITION/TITLE/RELATIONSHIP: LIMITED PARTNER APX NUMBER OF HOURS PER WEEK: MINIMAL APX NUMBER OF HOURS DURING TRADING HOURS: MINIMAL BRIEF DESCRIPTION OF DUTIES: PASSIVE OWNERSHIP; 3. NAME OF OTHER BUSINESS: FFEC WEALTH PARTNERS INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 3/2022 POSITION/TITLE/RELATIONSHIP: SR VICE PRESIDENT - INVESTMENTS APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: FINANCIAL SERVICES;

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2016-12-27
S63 Uniform Securities Agent State Law Examination 1983-01-12
  • S65 Uniform Investment Adviser Law Examination
    2016-12-27
  • S63 Uniform Securities Agent State Law Examination
    1983-01-12
Other Names
  • George Peter Lares-Karageorgis
  • George Peter Lares

View on SEC IAPD

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