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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
CA RA APPROVED 2023-06-29
TX RA APPROVED 2023-06-29
  • CA RA
    APPROVED
    Since 2023-06-29
  • TX RA
    APPROVED
    Since 2023-06-29

Branch Locations

2950 Camino Diablo Ste 220, Walnut Creek, CA 94597-3978 • 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
Cetera Wealth Services, Llc El Segundo CA 01/2013 Present
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
Previous Registrations
  • 2001-12-14 → 2008-06-12
    Associated Planners Investment Advisory Inc
    Lafayette, CA
Other Businesses

1. VARIOUS FIXED INSURANCE COMPANIES, REPRESENTATIVE OFFERS FIXED INSURANCE PRODUCTS, LIFE, HEALTH, DISABILITY, ANNUITIES AND LONG TERM CARE; 2. NAME OF OTHER BUSINESS: BUSINESS ENTERPRISE INSTITUTE, INVESTMENT RELATED: YES, ADDRESS: 3732 MT DIABLO BLVD SUITE 286 LAFAYETTE, CA 94549, NATURE OF BUSINESS: EXIT PLANNING STRATEGIES, POSITION: REPRESENTATIVE, START DATE: 01/2009, APX 12 PER MONTH, CAN VARY DEPENDANT ON VOLUME, BRIEF DESCRIPTION OF DUTIES: HELPING BUSINESS OWNERS WITH THE PROCESS OF CLOSING OR TRANSFERRING THEIR BUSINESS IN THE MOST TAX AND FINANCIALLY EFFICIENT MANNER; 3. LAFAYETTE SQUARE FINANCIAL ADVISORS, INC., INVESTMENT RELATED, SAME AS REGISTERED ADDRESS, DBA NAME FOR FINANCIAL ADVISORY, START 1985, 50HRS/WK (32.5 TRADING HOURS), REGISTERED PRINCIPAL, PRESIDENT, & CEO;

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1982-12-17
  • S63 Uniform Securities Agent State Law Examination
    1982-12-17

View on SEC IAPD

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