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

Branch Locations

2990 Bethesda Place Suite #606B, Winston-Salem, NC 27103 • 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
First Allied Securities, Inc San Diego CA 09/2000 09/2022
First Allied Advisory Services, Inc. Chesterfield MO 11/2015 11/2020
Cetera Investment Advisers Llc Schaumburg IL 11/2020 Present
Cetera Advisors Llc Winston-Salem NC 09/2022 Present
  • 09/2000 → 09/2022
    First Allied Securities, Inc
    San Diego, CA
  • 11/2015 → 11/2020
    First Allied Advisory Services, Inc.
    Chesterfield, MO
  • 11/2020 → Present
    Schaumburg, IL
  • 09/2022 → Present
    Cetera Advisors Llc
    Winston-Salem, NC
Previous Registrations
  • 2015-11-25 → 2020-11-12
    First Allied Advisory Services, Inc.
    Winston-Salem, NC
  • 2012-07-02 → 2014-06-03
    First Allied Advisory Services, Inc.
    Winston-Salem, NC
  • 2001-12-20 → 2012-07-02
    First Allied Securities, Inc.
    Winston Salem, NC
    Winston-Salem, NC
Other Businesses

1.)FINRA; ARBITRATOR/EXPERT WITNESS 2.)INSTRUCTOR AT FORSYTH TECHNICAL COMMUNITY COLLEGE; EDUCATION/TEACHING. 3.)WITTENBERG, PRIDDY, BLANKENSHIP; INSURANCE (FIXED/LIFE/HEALTH/P&C) 4.)WITTENBERG, PRIDDY, BLANKENSHIP; DBA. 5.)BOOK - ARE YOU READY? SUBTITLE "PROTECTING AND PREPARING YOUR FAMILY FOR ESTATE ISSUES BEFORE AND AFTER DEATH". AUTHOR; AUTHOR,SPEAKER,ENTERTAINER/MEDIA CONTRIBUTOR; START DATE 07/01/2019; 4 HOURS PER MONTH;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2001-09-04
S65 Uniform Investment Adviser Law Examination 1994-09-21
S63 Uniform Securities Agent State Law Examination 1984-09-20
  • S66 Uniform Combined State Law Examination
    2001-09-04
  • S65 Uniform Investment Adviser Law Examination
    1994-09-21
  • S63 Uniform Securities Agent State Law Examination
    1984-09-20
Designations
Other Names
  • Mike Wittenberg

View on SEC IAPD

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