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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 2018-11-14
  • NJ RA
    APPROVED
    Since 2018-11-14

Branch Locations

34 W Lafayette St, Trenton, NJ 08608 • 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 Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Adams And Associates Pc Trenton NJ 01/1993 Present
Rider University Lawrenceville NJ 09/1988 Present
Abacus Capital Corp. Yandly PA 10/1989 Present
Cetera Financial Specialists Llc Schaumburg IL 10/2005 Present
Cetera Investment Advisers Llc Schaumburg IL 11/2006 Present
  • 01/1993 → Present
    Adams And Associates Pc
    Trenton, NJ
  • 09/1988 → Present
    Rider University
    Lawrenceville, NJ
  • 10/1989 → Present
    Abacus Capital Corp.
    Yandly, PA
  • 10/2005 → Present
    Cetera Financial Specialists Llc
    Schaumburg, IL
  • 11/2006 → Present
    Schaumburg, IL
Other Businesses

1) RIDER UNIVERSITY, NOT INV.REL, ADJUNCT PROF. AT RID UNIV, LAWRENCEVILLE,NJ, SD:9/88, TEACH. ACCT& FIN CLASS, 6H/WK, 2)ADAMS & ASSOC PC, NOT INV REL, CPA PRACT, TAX & AUDIT SERV, MANAGE DIR, SD:1/93, PREP TAX RETURNS FOR BUS, IND & NON-PROF ORGS, PREP FIN STMTS, 40H/WK, CORP 100%OWNER; 3)ABACUS CAPITAL CORP, NOT INV REL, EMPLY LEASE COMP & BOOKKEEPING SERV, BOARD CHAIRMAN, SD 10/05, REV CLIENT ARRANGMTS PRIC, PREP COMPS TAX RETURN, 2H/WK, PARTNER: PATRICIA MCDONALD-30%, I OWN (70%); 4) PAEDEIA, INC, NOT INV REL, CFO, BOARD MEMBER FOR DEV STAGE CO IN MEDICAL FIELD, BUDGET PREP, ACCTG, CONTRACT REVIEW, 5H/WK, START 12/2007 5)MACHINE LLC, NOT INVESTMENT RELATED, 1211 S MAIN ST, OLD FORGE, PA, REAL ESTATE, STARTED 7/2014, PARTNER, APX 2 HOURS PER WEEK, NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: OWN AND MANAGE 3 UNIT APT BUILDING 6)NAME OF OTHER BUSINESS: JOINT VENTURE ; INVESTMENT RELATED: NO ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: SEMINAR CPE ; START DATE: 01/2019 ; POSITION/TITLE/RELATIONSHIP: CO-OWNER ; APX NUMBER OF HOURS PER WEEK: 2 ; APX NUMBER OF HOURS DURING TRADING HOURS: 2 ; BRIEF DESCRIPTION OF DUTIES: WEBINAR FOR A 3 HOUR CPE CREDIT 7) NAME OF OTHER BUSINESS: TRENTON CYCLING REVOLUTION; INVESTMENT RELATED: NO; ADDRESS: 601 N CLINTON AVE TRENTON, NJ 08638; NATURE OF BUSINESS: BOARD; START DATE: 5/2022; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER ; APX NUMBER OF HOURS PER WEEK: 1 ; APX NUMBER OF HOURS DURING TRADING HOURS: 1 ; BRIEF DESCRIPTION OF DUTIES: PROMOTE CYCLING, BIKE GIVEAWAYS, BACK UP SIGNER FOR CHECKS, HELP PREPARE TAX RETURNS;

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2007-01-03
S63 Uniform Securities Agent State Law Examination 1999-10-04
  • S65 Uniform Investment Adviser Law Examination
    2007-01-03
  • S63 Uniform Securities Agent State Law Examination
    1999-10-04

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