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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
RI RA APPROVED 2025-11-03
  • RI RA
    APPROVED
    Since 2025-11-03

Branch Locations

35 South County Commons Way Unit D5, South Kingstown, RI 02879 • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Lincoln RI 10/2017 06/2018
Florida State University Tallahassee FL 08/2015 08/2017
Unemployed Smithfield RI 07/2018 07/2018
Unemployed Smithfield RI 07/2017 07/2017
Fidelity Investments Smithfield RI 08/2018 03/2020
Unemployed Smithfield RI 04/2020 04/2020
Schwab Asset Management Boston MA 05/2020 12/2022
Parametric Boston MA 01/2023 05/2025
Unemployed Boston MA 06/2025 08/2025
Cetera Wealth Services East Providence RI 08/2025 Present
Pioneer Financial Group East Providence RI 08/2025 Present
Cetera Investment Advisers Llc Schaumburg IL 11/2025 Present
  • 10/2017 → 06/2018
    Lincoln, RI
  • 08/2015 → 08/2017
    Florida State University
    Tallahassee, FL
  • 07/2018 → 07/2018
    Unemployed
    Smithfield, RI
  • 07/2017 → 07/2017
    Unemployed
    Smithfield, RI
  • 08/2018 → 03/2020
    Fidelity Investments
    Smithfield, RI
  • 04/2020 → 04/2020
    Unemployed
    Smithfield, RI
  • 05/2020 → 12/2022
    Schwab Asset Management
    Boston, MA
  • 01/2023 → 05/2025
    Parametric
    Boston, MA
  • 06/2025 → 08/2025
    Unemployed
    Boston, MA
  • 08/2025 → Present
    Cetera Wealth Services
    East Providence, RI
  • 08/2025 → Present
    Pioneer Financial Group
    East Providence, RI
  • 11/2025 → Present
    Schaumburg, IL
Previous Registrations
Other Businesses

1. NAME OF OTHER BUSINESS: PIONEER FINANCIAL GROUP INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 08/2025 POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 25 BRIEF DESCRIPTION OF DUTIES: PROVIDE FINANCIAL SERVICES; 2. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 12/2025; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SALES OF FIXED INSURANCE PRODUCTS;

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2025-10-21
S66 Uniform Combined State Law Examination 2018-02-09
  • S63 Uniform Securities Agent State Law Examination
    2025-10-21
  • S66 Uniform Combined State Law Examination
    2018-02-09
Designations
Other Names
  • Michael Ryan Catarina
  • Michael Catarina

View on SEC IAPD

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