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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
TX RA APPROVED_RES 2023-06-29
FL RA APPROVED 2023-05-02
  • TX RA
    APPROVED_RES
    Since 2023-06-29
  • FL RA
    APPROVED
    Since 2023-05-02

Branch Locations

7601 N Federal Hwy Ste B215, Boca Raton, FL 33487 • 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 No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Summit Brokerage Services Inc Boca Raton FL 04/2005 09/2019
Cetera Wealth Services, Llc El Segundo CA 09/2019 Present
Summit Financial Group Inc Boca Raton FL 04/2005 05/2021
Pure Profit'S Llc. West Palm Beach FL 01/2013 Present
Cetera Investment Advisers Llc Schaumburg IL 03/2023 Present
  • 04/2005 → 09/2019
    Summit Brokerage Services Inc
    Boca Raton, FL
  • 09/2019 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 04/2005 → 05/2021
    Summit Financial Group Inc
    Boca Raton, FL
  • 01/2013 → Present
    Pure Profit'S Llc.
    West Palm Beach, FL
  • 03/2023 → Present
    Schaumburg, IL
Previous Registrations
Other Businesses

1. LOVE ESTATE&FINANCIAL SVCS; NOT INVESTMENT RELATED; SAME ADDRESS AS REGISTERED BRANCH; COMMISSION PROCESSING; PRESIDENT; 11/16/2000; APPX 4 HRS/MONTH; APPX 0 HRS/MONTH DURING TRADING; TO PAY BILL, SALARIES, AND MISC EXPENSES; 2. NAME OF OTHER BUSINESS: PURE PROFIT'S LLC.; INVESTMENT RELATED: NO; ADDRESS: 1681 BARBARIE LN, WEST PALM BEACH, FL, 33417; NATURE OF BUSINESS: PERSONAL REAL ESTATE PURCHASE; START DATE: 01/2013; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: LESS THAN 1; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1; BRIEF DESCRIPTION OF DUTIES: PURCHASED HOME FOR FAMILY MEMBERS; 3. NAME OF OTHER BUSINESS: CUMMINGS & COHEN REAL ESTATE INC.; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: REAL ESTATE; START DATE: 05/2024; POSITION/TITLE/RELATIONSHIP: AGENT; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: PURCHASE REAL ESTATE FOR PERSONAL USE AND FAMILY;

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-07-02
S63 Uniform Securities Agent State Law Examination 1984-03-16
  • S65 Uniform Investment Adviser Law Examination
    1999-07-02
  • S63 Uniform Securities Agent State Law Examination
    1984-03-16

View on SEC IAPD

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