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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 2022-11-01
CA RA APPROVED 2020-11-12
  • TX RA
    APPROVED_RES
    Since 2022-11-01
  • CA RA
    APPROVED
    Since 2020-11-12

Branch Locations

4437 30Th St., San Diego, CA 92116 • 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
Volker Financial San Diego CA 11/1991 Present
First Allied Securities, Inc. San Diego CA 02/2002 09/2022
First Allied Advisory Services, Inc. Chesterfield MO 05/2014 11/2020
First Allied Advisory Services Schaumburg IL 11/2020 11/2020
Cetera Advisors Llc San Diego CA 09/2022 Present
Cetera Investment Advisers Llc Schaumburg IL 11/2020 Present
  • 11/1991 → Present
    Volker Financial
    San Diego, CA
  • 02/2002 → 09/2022
    First Allied Securities, Inc.
    San Diego, CA
  • 05/2014 → 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
    San Diego, CA
  • 11/2020 → Present
    Schaumburg, IL
Previous Registrations
  • 2014-05-15 → 2020-11-12
    First Allied Advisory Services, Inc.
    San Diego, CA
Other Businesses

1. VOLKER FINANCIAL & INSURANCE SERVICES, INC.; AGENT; INSURANCE; START DATE: 05/10/2004; 0 HOURS PER MONTH. 2. SUNSET CLIFFS ENTERPRISES; PARTNER; REAL ESTATE(RENT/INVEST/DEVELOP); START DATE:01/06/2009 3. TIERRASANTA KIWANIS CLUB/FOUNDATION; TREASURER;NON-PROFIT ORGANIZATION; START DATE 01/01/2013; 4 HRS. PER MONTH. 4. TUPPER REVOCABLE TRUST; SUCCESSOR TRUSTEE; FIDUCIARY POSITION; 20 HOURS PER MONTH; STATE DATE: 03/16/2015. 5. GERALD J OTT & JOYCE A OTT REV TRUST; SUCCESSOR TRUSTEE; FIDUCIARY POSITION; 20 HOURS PER MONTH; START DATE: 03/16/2015.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1989-04-19
  • S63 Uniform Securities Agent State Law Examination
    1989-04-19

View on SEC IAPD

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