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Antonio Miguel Caballero

Cetera Investment Advisers LLC

Pasadena, CA

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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_RES 2022-04-22
CA RA APPROVED 2019-06-19
  • TX RA
    APPROVED_RES
    Since 2022-04-22
  • CA RA
    APPROVED
    Since 2019-06-19

Branch Locations

155 North Lake Avenue Suite 430, Pasadena, CA 91101 • 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
Regents Capital Corporation Costa Mesa CA 02/2015 05/2017
Foresters Financial Services Monrovia CA 09/2017 07/2018
Unemployed Covina CA 05/2017 09/2017
Foresters Financial Services Monrovia CA 07/2018 06/2019
Foresters Advisory Services Monrovia CA 03/2019 06/2019
Cetera Investment Advisers Llc Monrovia CA 06/2019 Present
Cetera Investment Services Llc St Cloud MN 06/2019 Present
  • 02/2015 → 05/2017
    Regents Capital Corporation
    Costa Mesa, CA
  • 09/2017 → 07/2018
    Foresters Financial Services
    Monrovia, CA
  • 05/2017 → 09/2017
    Unemployed
    Covina, CA
  • 07/2018 → 06/2019
    Foresters Financial Services
    Monrovia, CA
  • 03/2019 → 06/2019
    Foresters Advisory Services
    Monrovia, CA
  • 06/2019 → Present
    Cetera Investment Advisers Llc
    Monrovia, CA
  • 06/2019 → Present
    Cetera Investment Services Llc
    St Cloud, MN
Previous Registrations
  • 2019-03-25 → 2019-06-24
    Foresters Advisory Services, Llc
    Monrovia, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2019-02-20
S63 Uniform Securities Agent State Law Examination 2017-11-09
  • S65 Uniform Investment Adviser Law Examination
    2019-02-20
  • S63 Uniform Securities Agent State Law Examination
    2017-11-09

View on SEC IAPD

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Other Offices

CMR CAPITAL MANAGEMENT, LLC · PASADENA, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · PASADENA, CA
STRATEGY ASSET MANAGERS L.L.C. · PASADENA, CA
MML INVESTORS SERVICES, LLC · Pasadena, CA
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · PASADENA, CA
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