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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
TX RA APPROVED 2023-10-19
WA RA APPROVED 2023-06-29
  • TX RA
    APPROVED
    Since 2023-10-19
  • WA RA
    APPROVED
    Since 2023-06-29

Branch Locations

2018 156Th Ave Ne, Suite 100, Bellevue, WA 98007 • 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
Swedish Hospital Seattle WA 08/2016 06/2017
Voya Financial Advisors Bellevue WA 07/2017 06/2021
Cetera Wealth Services, Llc El Segundo CA 06/2021 Present
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
  • 08/2016 → 06/2017
    Swedish Hospital
    Seattle, WA
  • 07/2017 → 06/2021
    Voya Financial Advisors
    Bellevue, WA
  • 06/2021 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 06/2023 → Present
    Schaumburg, IL
Previous Registrations
Other Businesses

1. NAME OF ENTITY:SWEDISH HOSPITAL; No; 747 BROADWAY; SEATTLE; WA; 98122; NON-PROFIT ORGANIZATION; COORDINATOR; 6/7/2017; 5; 0; ASSIST IN COORDINATING AND PLANNING COMMUNITY EVENTS.| 2. NAME OF ENTITY: INDEPENDENT INSURANCE AGENT; Yes; 10655 NE 4TH ST STE 300; BELLEVUE; WA; 98006; FIXED INSURANCE; INDEPENDENT INSURANCE AGENT; 7/6/2017; 160; 160; SALE OF FIXED INSURANCE PRODUCTS.| 3. NAME OF ENTITY: Helping with a Book version update as a co-author; Yes; 8404 128th Ave SE; Newcastle; WA; 98056; Co-author with two other authors on a book.; Consultant; 3/8/2021; 5; 0; Review, collaborate and make recommendations on chapter 3. That chapter is titled â??Itâ??s never too late to saveâ?. A major part of my contributions will be charting & writing chapter 3.| 4. NAME OF OTHER BUSINESS: WESTSTAR PROSPERITY PARTNERS; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES DBA; START DATE: 06/2021; POSITION/TITLE/RELATIONSHIP: IAR; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: FINANCIAL SERVICES; 5. NAME OF OTHER BUSINESS: FITCH FINANCIAL LLC; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: TAX ENTITY; START DATE: 04/2024; POSITION/TITLE/RELATIONSHIP: OWNER/MANAGING MEMBER; APX NUMBER OF HOURS PER WEEK: 0; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: LLC FOR TAX PURPOSES;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-10-17
  • S66 Uniform Combined State Law Examination
    2017-10-17
Other Names
  • Alexander Fitch

View on SEC IAPD

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