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

Branch Locations

12 Christopher Way #200, Eatontown, NJ 07724 • 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
First Allied Securities, Inc. San Diego CA 12/2008 09/2022
First Allied Advisory Services, Inc. Chesterfield MO 07/2012 11/2020
Cetera Advisors Llc Eatontown NJ 09/2022 Present
Cetera Investment Advisers Llc Schaumburg IL 11/2020 Present
  • 12/2008 → 09/2022
    First Allied Securities, Inc.
    San Diego, CA
  • 07/2012 → 11/2020
    First Allied Advisory Services, Inc.
    Chesterfield, MO
  • 09/2022 → Present
    Cetera Advisors Llc
    Eatontown, NJ
  • 11/2020 → Present
    Schaumburg, IL
Previous Registrations
  • 2012-07-02 → 2020-11-12
    First Allied Advisory Services, Inc.
    Chesterfield, MO
    Eatontown, NJ
  • 2008-12-09 → 2012-07-02
    First Allied Securities, Inc.
    Red Bank, NJ
    Eatontown, NJ
    San Diego, CA
  • 2006-09-14 → 2008-12-09
    First Montauk Securities Corp.
    Red Bank, NJ
    Red Bank, NJ
Other Businesses

1. BAHARY FINANCIAL GROUP; PRESIDENT; DBA; START DATE 12/15/2011; 160 HRS. PER MONTH. 2. GLADYS BAHARY; EXECUTOR OF ESTATE; FIDUCIARY POSITION (TRUSTEE, POA, EXECUTOR, ETC.) START DATE 08/01/2021;12 HOURS PER MONTH. 3. HOA BOARD MEMBER; BOARD MEMBER; NON-PROFIT ORGANIZATION; START DATE: 10/01/2021; 8 HOURS PER MONTH. 4. MARK BAHARY IRRECOVABLE TRUST; TRUSTEE; FIDUCIARY POSITION; START DATE: 11/01/2021; 8 HOURS PER MONTH. 5. NAME OF OTHER BUSINESS: SEAWATCH TOWNHOUSE; INVESTMENT RELATED: NO; ADDRESS: SAME AS RESIDENCIAL LOCATION; NATURE OF BUSINESS: BOARD; START DATE: 12/2024; POSITION/TITLE/RELATIONSHIP: ELECTED BOARD MEMBER APX NUMBER OF HOURS PER WEEK: 3; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: MAINTAIN THE SAFETY AND STRUCTURE OF TOWNHOMES AS PER BYLAWS OF ASSOCIATION;

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-09-13
S63 Uniform Securities Agent State Law Examination 1984-10-12
  • S65 Uniform Investment Adviser Law Examination
    2006-09-13
  • S63 Uniform Securities Agent State Law Examination
    1984-10-12

View on SEC IAPD

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