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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
CT RA APPROVED 2026-08-24
  • CT RA
    APPROVED
    Since 2026-08-24

Branch Locations

1776 Boston Turnpike , Coventry, CT 06238 • 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
Self Employed Franklin CT 01/2016 01/2020
Shoprite Supermarkets Norwich CT 01/2020 09/2020
A Thyme To Cook North Stonington CT 05/2021 Present
Irene's Family Resturant Norwich CT 06/2021 08/2022
Full-Time Education Norwich CT 08/2021 04/2024
Puff N Stuff Catering Tampa FL 03/2023 04/2024
Cour Tax Consultants Dba H&R Block Marlborough CT 12/2024 01/2026
Full-Time Education Norwich CT 08/2017 06/2021
Harp And Dragon Norwich CT 05/2024 01/2025
Cetera Wealth Services, Llc El Segundo CA 01/2026 Present
H&R Block Coventry CT 12/2024 Present
Cetera Investment Advisors Schaumburg IL 08/2026 Present
  • 01/2016 → 01/2020
    Self Employed
    Franklin, CT
  • 01/2020 → 09/2020
    Shoprite Supermarkets
    Norwich, CT
  • 05/2021 → Present
    A Thyme To Cook
    North Stonington, CT
  • 06/2021 → 08/2022
    Irene's Family Resturant
    Norwich, CT
  • 08/2021 → 04/2024
    Full-Time Education
    Norwich, CT
  • 03/2023 → 04/2024
    Puff N Stuff Catering
    Tampa, FL
  • 12/2024 → 01/2026
    Cour Tax Consultants Dba H&R Block
    Marlborough, CT
  • 08/2017 → 06/2021
    Full-Time Education
    Norwich, CT
  • 05/2024 → 01/2025
    Harp And Dragon
    Norwich, CT
  • 01/2026 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 12/2024 → Present
    H&R Block
    Coventry, CT
  • 08/2026 → Present
    Cetera Investment Advisors
    Schaumburg, IL
Other Businesses

1. NAME OF OTHER BUSINESS: H&R BLOCK INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: TAX PREPARATION START DATE: 12/2024 POSITION/TITLE/RELATIONSHIP: SENIOR TAX SPECIALIST APX NUMBER OF HOURS PER WEEK: 30 APX NUMBER OF HOURS DURING TRADING HOURS: 20 BRIEF DESCRIPTION OF DUTIES: PREPARE TAXES FOR CLIENTS, OFFER TAX ADVICE, RESOLVE TAX ISSUES; 2. NAME OF OTHER BUSINESS: A THYME TO COOK INVESTMENT RELATED: NO ADDRESS: NORTH STONINGTON, CT 06359 NATURE OF BUSINESS: WEDDING CATERER START DATE: 05/2021 POSITION/TITLE/RELATIONSHIP: EVENT LEAD CHEF APX NUMBER OF HOURS PER WEEK: 10 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: EVENT LEAD CHEF; 3. NAME OF OTHER BUSINESS: CAPTAIN HALE FINANCIAL INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: DBA FOR SECURITIES BUSINESS START DATE: 05/2025 POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL APX NUMBER OF HOURS PER WEEK: 21 APX NUMBER OF HOURS DURING TRADING HOURS: 21 BRIEF DESCRIPTION OF DUTIES: CLIENT SERVICES. MAINTENANCE ETC;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2026-08-21
  • S66 Uniform Combined State Law Examination
    2026-08-21

View on SEC IAPD

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