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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
ME RA APPROVED 2024-03-21
  • ME RA
    APPROVED
    Since 2024-03-21

Branch Locations

7 Oak Hill Terrace Suite 204, Scarborough, ME 04074 • 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 No
  • Criminal Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Price Financial Scarborough ME 02/1992 Present
Cetera Advisors Llc Denver CO 06/1996 Present
The Maine Real Estate Network Portland ME 02/2016 Present
Cetera Investment Advisers Llc Schaumburg IL 03/2024 Present
  • 02/1992 → Present
    Price Financial
    Scarborough, ME
  • 06/1996 → Present
    Cetera Advisors Llc
    Denver, CO
  • 02/2016 → Present
    The Maine Real Estate Network
    Portland, ME
  • 03/2024 → Present
    Schaumburg, IL
Previous Registrations
  • 2007-02-13 → 2010-02-12
    Price Financial
    Scarborough, ME
Other Businesses

(1) PRICE FINANCIAL, TAX PREPARATION - NOT INVESTMENT RELATED, ADDRESS IS REGISTERED LOCATION, START 01/01/92, 5 HR/WK. - VARIES DURING TRADING HOURS, 100% OWNER - INCOME TAX RETURN PREPARATION SERVICES. (2) PRICE FINANCIAL, INVESTMENT RELATED, SAME AS REGISTERED LOCATION, FINANCIAL SERVICES, STARTED 1992, REGISTERED REPRESENTATIVE APX NUMBER OF HOURS PER WEEK: 40, 32.5 DURING TRADING HOURS BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES (3) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 10/19/2016 APX NUMBER OF HOURS PER WEEK: LESS THAN 1 HOUR; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, AND LONG TERM CARE. (4) NAME OF OTHER BUSINESS: THE BEAN GROUP ; INVESTMENT RELATED: NO; ADDRESS: 75 JOHN ROBERTS ROAD, SOUTH PORTLAND, ME 04106; NATURE OF BUSINESS: REAL ESTATE; START DATE: 05/2018 ; POSITION/TITLE/RELATIONSHIP: REAL ESTATE AGENT; APX NUMBER OF HOURS PER WEEK: 0-5 ; APX NUMBER OF HOURS DURING TRADING HOURS: 0-5 ; BRIEF DESCRIPTION OF DUTIES: ASSOCIATE BROKER ;

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1991-08-02
  • S63 Uniform Securities Agent State Law Examination
    1991-08-02
Designations
Other Names
  • Jerry Price

View on SEC IAPD

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