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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
PA RA APPROVED 2023-06-29
TX RA APPROVED_RES 2023-06-29
  • PA RA
    APPROVED
    Since 2023-06-29
  • TX RA
    APPROVED_RES
    Since 2023-06-29

Branch Locations

111 Washington St, Washington, PA 15301 • 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
Cetera Wealth Services, Llc El Segundo CA 09/2013 Present
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
Previous Registrations
  • 2007-07-23 → 2013-09-03
    Walnut Street Securities, Inc.
    Washington, PA
    Washington, PA
Other Businesses

1. INDEPENDENT INSURANCE AGENT SELLING LIFE, FROM BUSINESS ADDRESS FOR 1 WKDY HR/WK SINCE 11/2009. 2. NAME OF OTHER BUSINESS: STATION CAPITAL NAPLES INVESTMENT RELATED: NO ADDRESS: 1921 CRESTVIEW AY UNITS 178/179 NAPLES FL 34119 NATURE OF BUSINESS: REAL ESTATE RENTAL START DATE: 1/2007 POSITION/TITLE/RELATIONSHIP: 100% OWNER APX NUMBER OF HOURS PER WEEK: 4 APX NUMBER OF HOURS DURING TRADING HOURS: 3 3. NAME OF OTHER BUSINESS: STATION CAPITAL, INC. INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: LIFE INSURANCE START DATE: 8/1996 POSITION/TITLE/RELATIONSHIP: VP/CFO APX NUMBER OF HOURS PER WEEK: ½ HR APX NUMBER OF HOURS DURING TRADING HOURS: VARIES BRIEF DESCRIPTION OF DUTIES: DBA FOR INSURANCE BUSINESS; 4. NAME OF OTHER BUSINESS: DEER VALLEY YMCA CAMP; INVESTMENT RELATED: NO; ADDRESS: 254 DEER VALLEY DR, FORT HILL, PA 15540; NATURE OF BUSINESS: YMCA FAMILY CAMP; START DATE: 06/2022 POSITION/TITLE/RELATIONSHIP: WATER FRONT STAFF; APX NUMBER OF HOURS PER WEEK: 16; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: PROVIDE BOAT, LIFEGUARD, & MISCELLANEOUS WATERFRONT MAINTENANCE SERVICES; 5. NAME OF OTHER BUSINESS: R J PUBLICATIONS, INVESTMENT RELATED: NO, ADDRESS: SAME AS RESIDENTIAL LOCATION, NATURE OF BUSINESS: LITERATURE, START DATE: 01/2025, POSITION/TITLE/RELATIONSHIP: AUTHOR, APX NUMBER OF HOURS PER WEEK: 20, APX NUMBER OF HOURS DURING TRADING HOURS: 0, BRIEF DESCRIPTION OF DUTIES: WRITING A BOOK REGARDING TIMELESS PRINCIPLES, MODERN CHALLENGES;

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-04-06
S63 Uniform Securities Agent State Law Examination 1984-11-01
  • S65 Uniform Investment Adviser Law Examination
    1999-04-06
  • S63 Uniform Securities Agent State Law Examination
    1984-11-01

View on SEC IAPD

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