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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

51 Jfk Parkway First Floor West, Short Hills, NJ 07078 • United States

Chatham, NJ • 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 Yes
  • Investigation No
  • Customer complaint No
  • 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 Investment Advisers Llc Schaumburg IL 11/2020 Present
Cetera Advisors Llc Short Hills NJ 09/2022 Present
  • 12/2008 → 09/2022
    First Allied Securities, Inc.
    San Diego, CA
  • 07/2012 → 11/2020
    First Allied Advisory Services, Inc.
    Chesterfield, MO
  • 11/2020 → Present
    Schaumburg, IL
  • 09/2022 → Present
    Cetera Advisors Llc
    Short Hills, NJ
Previous Registrations
  • 2012-07-02 → 2020-11-12
    First Allied Advisory Services, Inc.
    New York, NY
    Short Hills, NJ
  • 2008-12-09 → 2012-07-02
    First Allied Securities, Inc.
    New York, NY
    New York, NY
    Red Bank, NJ
    New York, NY
    San Diego, CA
    New York, NY
    Short Hills, NJ
  • 2001-01-12 → 2008-12-09
    First Montauk Securities Corp.
    New York, NY
    New York, NY
    Florham Park, NJ
    Red Bank, NJ
Other Businesses

1.) ANTHONY LEE; AGENT; INSURANCE; START DATE: 12/1/2008. 2.) COMMERCE AND INDUSTRY ASSOCIATION OF NEW JERSEY. MEMBER. START DATE 1/31/2011. 3.) MONTGOMERY ACADEMY FOUNDATION; TRUSTEE; NON-PROFIT ORGANIZATION; START DATE 09/15/2011; 8 HOURS PER MONTH. 4.) SEND OUT CARDS; OTHER; OTHER; START DATE 12/01/2011; 4 HRS. PER MONTH. 5.) ADP; Referral Consultant; Consulting; start date 08/01/2016; 4 hours per month. 6.) CARDINAL HILL WEALTH ADVISORY GROUP; PRESIDENT; DBA )ONLY OFFERS FIRST ALLIED PRODUCTS/SERVICES) START DATE 12/23/2020; 160 HOURS PER MONTH.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-01-31
S63 Uniform Securities Agent State Law Examination 1985-12-21
  • S65 Uniform Investment Adviser Law Examination
    1996-01-31
  • S63 Uniform Securities Agent State Law Examination
    1985-12-21
Other Names
  • Anthony Youding Lee

View on SEC IAPD

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