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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
OH RA APPROVED 2024-03-21
  • OH RA
    APPROVED
    Since 2024-03-21

Branch Locations

10147C Royalton Rd, North Royalton, OH 44133 • 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
Cetera Advisors Llc El Segundo CA 01/2013 Present
Cetera Investment Advisers Llc Schaumburg IL 03/2024 Present
Other Businesses

(1) NAME OF OTHER BUSINESS: PAUL MARTIN, ATTORNEY AT LAW ; INVESTMENT RELATED: NO ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: LEGAL PRACTICE AND TAX PREPARATION, START DATE: 06/2012 ; APX NUMBER OF HOURS: 5 ; APX NUMBER OF HOURS DURING TRADING HOURS: 5 ; BRIEF DESCRIPTION OF DUTIES: TRUST, ESTATE PLANNING, INCOME TAX ; (2) PATHWAY FINANCIAL ADVISORS LLC, SAME AS OFFICE ADDRESS, FIXED INSURANCE, FINANCIAL SERVICES, BOOKEEPING, PAYROLL, 5HR/WK. $1000/MO. (3) NAME OF OTHER BUSINESS: N/A ; INVESTMENT RELATED: NO ; ADDRESS: 7128C BLUE RIDGE PKWY, LAUREL SPRINGS, NC 28644 ; NATURE OF BUSINESS: VACATION RENTAL HOME ; START DATE: 10/2020 ; POSITION/TITLE/RELATIONSHIP: OWNER ; APX NUMBER OF HOURS PER WEEK: LESS THAN 1 ; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1 ; BRIEF DESCRIPTION OF DUTIES: ACCOUNTING, BILL PAYING AND MAINTENANCE ; (4) NAME OF OTHER BUSINESS: CLEVELAND VELODROME; INVESTMENT RELATED: NO; ADDRESS: 5033 BROADWAY AVE CLEVELAND OH 44127; NATURE OF BUSINESS: NON PROFIT; START DATE: 7/2012; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: LESS THAN 1; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1; BRIEF DESCRIPTION OF DUTIES: ATTEND MONTHLY MEETINGS, FUND RAISING;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-05-23
S63 Uniform Securities Agent State Law Examination 2004-07-16
  • S66 Uniform Combined State Law Examination
    2007-05-23
  • S63 Uniform Securities Agent State Law Examination
    2004-07-16

View on SEC IAPD

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