Best Investors Account Sign in
Current Employers
Cetera Investment Advisers Llc

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2025-04-22
NJ RA APPROVED 2020-11-12
  • NY RA
    APPROVED
    Since 2025-04-22
  • NJ RA
    APPROVED
    Since 2020-11-12

Branch Locations

51 Jfk Parkway First Floor West, Short Hills, NJ 07078 • United States

200 East 66Th St., New York, NY 10065 • 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
First Allied Securities, Inc. San Diego CA 12/2008 09/2022
First Allied Advisory Services, Inc. Chesterfield MO 07/2012 11/2020
First Allied Advisory Services Schaumburg IL 11/2020 11/2020
Cetera Advisors Llc Short Hills NJ 09/2022 Present
Cetera Investment Advisers Llc Schaumburg IL 11/2020 Present
  • 12/2008 → 09/2022
    First Allied Securities, Inc.
    San Diego, CA
  • 07/2012 → 11/2020
    First Allied Advisory Services, Inc.
    Chesterfield, MO
  • 11/2020 → 11/2020
    First Allied Advisory Services
    Schaumburg, IL
  • 09/2022 → Present
    Cetera Advisors Llc
    Short Hills, NJ
  • 11/2020 → Present
    Schaumburg, IL
Previous Registrations
  • 2012-07-02 → 2020-11-12
    First Allied Advisory Services, Inc.
    Chesterfield, MO
    Florham Park, NJ
    New York, NY
    Suite 1735, NY
    Short Hills, NJ
  • 2011-12-08 → 2012-07-02
    First Allied Securities, Inc.
    New York, NY
    New York, NY
    New York, NY
    New York, NY
    Short Hills, NJ
Other Businesses

1.)THE CARDINAL HILL GROUP, INC; EMPLOYEE/FINANCIAL ADVISOR; DBA; START DATE:12/01/2008. 2.) FINRA; ARBITRATOR; ARBITRATOR/EXPERT WITNESS; START DATE: 07/13/2017; 80 HOURS PER MONTH. 3.) KEVIN FAY TRUST; FIDUCIARY POSITION(TRUSTEE, POA,EXECUTOR, ETC.); START DATE: 06/02/2009. 4.) CARDINAL HILL WEALTH ADVISORY GROUP LLC; WEALTH MANAGER; DBA; START DATE: 1/13/2021; 160 HOURS PER MONTH.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2012-03-01
S63 Uniform Securities Agent State Law Examination 1985-07-22
  • S65 Uniform Investment Adviser Law Examination
    2012-03-01
  • S63 Uniform Securities Agent State Law Examination
    1985-07-22

View on SEC IAPD

Other Firms

Other Investors

Other Offices

More in Short Hills, NJ

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor