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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 APP_PEND_IARCE 2026-01-01
TX RA APPROVED_RES 2025-11-08
  • CA RA
    APP_PEND_IARCE
    Since 2026-01-01
  • TX RA
    APPROVED_RES
    Since 2025-11-08

Branch Locations

2511 Garden Road Suite B100, Monterey, CA 93940 • 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 Yes
  • 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 11/2017 Present
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
Girard Securities, Inc. Carmel CA 08/2002 11/2017
  • 11/2017 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 06/2023 → Present
    Schaumburg, IL
  • 08/2002 → 11/2017
    Girard Securities, Inc.
    Carmel, CA
Previous Registrations
  • 2002-08-16 → 2017-11-01
    Girard Securities, Inc.
    Monterey, CA
    Carmel, CA
    San Diego, CA
  • 1998-04-01 → 2002-08-21
    Spelman & Co., Inc.
    Carmel, CA
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1984-03-21
  • S63 Uniform Securities Agent State Law Examination
    1984-03-21

View on SEC IAPD

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