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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
CA RA APPROVED 2020-11-12
TX RA APPROVED_RES 2020-11-12
  • CA RA
    APPROVED
    Since 2020-11-12
  • TX RA
    APPROVED_RES
    Since 2020-11-12

Branch Locations

1777 Botelho Dr Ste 275, Walnut Creek, CA 94596 • 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 06/2005 09/2022
First Allied Advisory Services, Inc. Chesterfield MO 07/2012 11/2020
First Allied Advisory Services Schaumburg IL 11/2020 09/2022
Cetera Advisors Llc Walnut Creek CA 09/2022 Present
Enhanced Financial Group Walnut Creek CA 08/2024 Present
Cetera Investment Advisers Llc Schaumburg IL 09/2022 Present
  • 06/2005 → 09/2022
    First Allied Securities, Inc.
    San Diego, CA
  • 07/2012 → 11/2020
    First Allied Advisory Services, Inc.
    Chesterfield, MO
  • 11/2020 → 09/2022
    First Allied Advisory Services
    Schaumburg, IL
  • 09/2022 → Present
    Cetera Advisors Llc
    Walnut Creek, CA
  • 08/2024 → Present
    Enhanced Financial Group
    Walnut Creek, CA
  • 09/2022 → Present
    Schaumburg, IL
Previous Registrations
  • 2012-07-02 → 2020-11-12
    First Allied Advisory Services, Inc.
    Chesterfield, MO
    San Ramon, CA
    Walnut Creek, CA
    Walnut Creek, CA
  • 2008-11-24 → 2012-07-02
    First Allied Securities, Inc.
    San Ramon, CA
    San Ramon, CA
    Walnut Creek, CA
Other Businesses

1) RENTAL PROPERTY; OWNER; REAL ESTATE; START DATE: 03/08/2018; 4 HOURS PER MONTH. 2) NAME OF OTHER BUSINESS: ENHANCED FINANCIAL GROUP; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 08/2024; POSITION/TITLE/RELATIONSHIP: OWNER/ FINANCIAL PROFESSIONAL; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-11-04
S63 Uniform Securities Agent State Law Examination 1987-10-20
  • S66 Uniform Combined State Law Examination
    2008-11-04
  • S63 Uniform Securities Agent State Law Examination
    1987-10-20

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