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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
FL RA APPROVED 2022-08-22
CA RA APPROVED 2022-03-11
TX RA APPROVED 2022-03-11
  • FL RA
    APPROVED
    Since 2022-08-22
  • CA RA
    APPROVED
    Since 2022-03-11
  • TX RA
    APPROVED
    Since 2022-03-11

Branch Locations

9275 Sky Park Court Suite 350, San Diego, CA 92123 • United States

Orlando, FL • 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
Massachusetts Mutual Life Insurance Company Pasadena CA 06/2017 03/2022
Mml Investors Services, Llc Pasadena CA 06/2017 03/2022
Richardson Water Well Drilling Co. Inc. Alice TX 01/2016 07/2017
Cetera Investment Services Llc St Cloud MN 03/2022 Present
Cetera Investment Advisers Llc San Diego CA 03/2022 Present
  • 06/2017 → 03/2022
    Massachusetts Mutual Life Insurance Company
    Pasadena, CA
  • 06/2017 → 03/2022
    Pasadena, CA
  • 01/2016 → 07/2017
    Richardson Water Well Drilling Co. Inc.
    Alice, TX
  • 03/2022 → Present
    Cetera Investment Services Llc
    St Cloud, MN
  • 03/2022 → Present
    San Diego, CA
Previous Registrations
Other Businesses

1) HEAD OR ASSISTANT COACH FOR SPORTS THROUGH SAINT PHILIP THE APOSTLE SCHOOL; 1/2 HR/WK; 2) BOARD MEMBER AND FINANCE COMMITTEE MEMBER FOR FIVE ACRES; DISCUSS FINANCES, BENEFITS, INSURANCE COVERAGES, HELPING TO REVIEW OUTCOMES AND METRICS CREATED BY FIVE ACRES FOR EVAULTING ITS IMPACT AND REGULARLY MEASURING ITS PERFORMANCE AND EFFECTIVENESS USING THOSE METRICS, APPROVING ANNUAL BUDGET, AUDIT REPORTS, HELPING MAKE HIGH-LEVEL BUSINESS DECISIONS, 1/2 HR/WK; 3) OWNER OF CALTEX FINANCIAL GROUP; DBA FOR CETERA BUSINESS 4) GROUP INSURANCE HEALTH INSURANCE (AETNA, UNITED, CIGNA, BLUE CROSS BLUE SHIELD), GROUP LIFE, DISABILITY, LTC INSURANCE (LINCOLN, PRUDENTIAL, GUARDIAN, MASS MUTUAL);

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2019-07-31
S63 Uniform Securities Agent State Law Examination 2019-01-11
  • S65 Uniform Investment Adviser Law Examination
    2019-07-31
  • S63 Uniform Securities Agent State Law Examination
    2019-01-11
Other Names
  • Chad Richardson
  • Chad A. Richardson

View on SEC IAPD

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