Best Investors Account Sign in
Current Employers
Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2026-02-22
CA RA APPROVED 2023-06-29
  • TX RA
    APPROVED_RES
    Since 2026-02-22
  • CA RA
    APPROVED
    Since 2023-06-29

Branch Locations

15141 E Whittier Blvd Ste 550, Whittier, CA 90603 • 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
Quantum Econometrics Whittier CA 11/2004 12/2023
Cetera Wealth Services, Llc El Segundo CA 01/2013 Present
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
  • 11/2004 → 12/2023
    Quantum Econometrics
    Whittier, CA
  • 01/2013 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 06/2023 → Present
    Schaumburg, IL
Previous Registrations
  • 2012-10-03 → 2023-11-22
    Quantum Econometrics, Llc
    Whittier, CA
Other Businesses

1. NAME OF OTHER BUSINESS: FINRA ARBITRATOR INVESTMENT RELATED: NO, ADDRESS: 300 S GRAND, LOS ANGELES, CA 90071 NATURE OF BUSINESS: INDUSTRY DUISPUTES START DATE: 01/2006, POSITION/TITLE/RELATIONSHIP: NON-PUBLIC ARBITRATOR , APX NUMBER OF HOURS PER WEEK: VARIES, APX NUMBER OF HOURS DURING TRADING HOURS: VARIES, BRIEF DESCRIPTION OF DUTIES: PARTICIPATE IN HEARINGS, CONFER WITH PANEL AS TO FINDINGS AND SETTLEMENTS 2. NAME OF OTHER BUSINESS: WHITTIER BUSINESS SERVICES LLC; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: EXPENSE MANAGEMENT; START DATE: 01/2026; POSITION/TITLE/RELATIONSHIP: MEMBER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: PURELY FOR THE PURPOSE OF PAYING EXPENSES OF THE WHITTIER BRANCH;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2001-08-31
S63 Uniform Securities Agent State Law Examination 1985-11-01
  • S66 Uniform Combined State Law Examination
    2001-08-31
  • S63 Uniform Securities Agent State Law Examination
    1985-11-01
Other Names
  • Karen Lewis
  • Karen Jeanne Lewis

View on SEC IAPD

Other Firms

Other Investors

Other Offices

More in Whittier, CA

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor