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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
WA RA APPROVED 2020-11-12
  • WA RA
    APPROVED
    Since 2020-11-12

Branch Locations

1700 7Th Avenue Suite 2100, Seattle, WA 98101 • United States

Seattle, WA • 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
Passage Wealth Advisors, Llc Seattle WA 05/2006 Present
First Allied Securities, Inc San Diego CA 08/2006 09/2022
First Allied Advisory Services Schaumburg IL 11/2020 11/2020
First Allied Advisory Services, Inc. Seattle WA 08/2018 11/2020
Cetera Advisors Llc Seattle WA 09/2022 Present
Cetera Investment Advisers Llc Schaumburg IL 11/2020 Present
  • 05/2006 → Present
    Passage Wealth Advisors, Llc
    Seattle, WA
  • 08/2006 → 09/2022
    First Allied Securities, Inc
    San Diego, CA
  • 11/2020 → 11/2020
    First Allied Advisory Services
    Schaumburg, IL
  • 08/2018 → 11/2020
    First Allied Advisory Services, Inc.
    Seattle, WA
  • 09/2022 → Present
    Cetera Advisors Llc
    Seattle, WA
  • 11/2020 → Present
    Schaumburg, IL
Previous Registrations
  • 2018-08-03 → 2020-11-12
    First Allied Advisory Services, Inc.
    Seattle, WA
    Seattle, WA
    Seattle, WA
    Seattle, WA
Other Businesses

1.) MARJORIE STONE SHIFFLETTE ESTATE, EXECUTOR; FIDUCIARY POSITION; START DATE: 12/01/2006; 0 HOURS PER MONTH. 2.) VOULEZ VOUS; OWNER; CONSULTING; START DATE: 09/20/1995; 4 HOURS PER MONTH. 3.) NAME OF OTHER BUSINESS: PASSAGE WEALTH ADVISORS, LLC; INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 05/2006, POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 4.) NAME OF OTHER BUSINESS: SEATTLE YACHT CLUB; INVESTMENT RELATED: NO; ADDRESS: 1807 EAST HAMLIN STREET SEATTLE, WA 98112; NATURE OF BUSINESS: BOARD; START DATE: 10/2024; POSITION/TITLE/RELATIONSHIP: BOARD SECRETARY; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 2; BRIEF DESCRIPTION OF DUTIES: YACHT CLUB BOARD SECRETARY; 5) NAME OF OTHER BUSINESS: CHAINE DES ROTISSEURS; INVESTMENT RELATED: NO, ADDRESS: 285 MADISON AVENUE, MADISON, NJ 07940, NATURE OF BUSINESS: NON-PROFIT, START DATE: 04/2025, POSITION/TITLE/RELATIONSHIP: BAILLI (PRESIDENT), APX NUMBER OF HOURS PER WEEK: 2, APX NUMBER OF HOURS DURING TRADING HOURS: 0, BRIEF DESCRIPTION OF DUTIES: PLANNING EVENTS, MANAGING MEMBERSHIP AND COORDINATING DUTIES WITH OTHER BOARD MEMBERS;

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2018-07-26
S63 Uniform Securities Agent State Law Examination 2008-06-10
  • S65 Uniform Investment Adviser Law Examination
    2018-07-26
  • S63 Uniform Securities Agent State Law Examination
    2008-06-10

View on SEC IAPD

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