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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
CA RA APPROVED 2025-01-07
  • CA RA
    APPROVED
    Since 2025-01-07

Branch Locations

27819 Smyth Drive 2Nd Floor, Valencia, CA 91355 • 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
Guirguis & Gibbs Inc. Valencia CA 01/2018 07/2022
Carlsen Financial Inc Sherman Oaks CA 10/2016 02/2017
Carlsen Financial Llp Sherman Oaks CA 03/2017 11/2017
The David Lewis Company Woodland Hills CA 08/2015 09/2016
Avantax Investment Services, Inc. Valencia CA 09/2020 07/2022
Repriva Professional Exams Llc Ozone Park NY 01/2019 12/2019
Carlsen & Garelick Llp Sherman Oaks CA 08/2017 12/2017
Cetera Financial Specialists Llc Schaumburg IL 07/2022 Present
Guirguis & Gibbs Valencia CA 07/2022 Present
Cetera Investment Advisers Llc Schaumburg IL 09/2024 Present
  • 01/2018 → 07/2022
    Guirguis & Gibbs Inc.
    Valencia, CA
  • 10/2016 → 02/2017
    Carlsen Financial Inc
    Sherman Oaks, CA
  • 03/2017 → 11/2017
    Carlsen Financial Llp
    Sherman Oaks, CA
  • 08/2015 → 09/2016
    The David Lewis Company
    Woodland Hills, CA
  • 09/2020 → 07/2022
    Avantax Investment Services, Inc.
    Valencia, CA
  • 01/2019 → 12/2019
    Repriva Professional Exams Llc
    Ozone Park, NY
  • 08/2017 → 12/2017
    Carlsen & Garelick Llp
    Sherman Oaks, CA
  • 07/2022 → Present
    Cetera Financial Specialists Llc
    Schaumburg, IL
  • 07/2022 → Present
    Guirguis & Gibbs
    Valencia, CA
  • 09/2024 → Present
    Schaumburg, IL
Other Businesses

1) NAME OF OTHER BUSINESS: GUIRGUIS & GIBBS; INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 07/2022, POSITION/TITLE/RELATIONSHIP: OWNER, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA AS GUIRGUIS & GIBBS INC. FOR ALL BOOKKEEPING, TAX, & INVESTMENT CLIENTS. VICE PRESIDENT - BUSINESS ENTITY SETUP, BOOKKEEPING, TAX RESOLUTION/RESEARCH, TAX PLANNING;

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2024-12-28
S63 Uniform Securities Agent State Law Examination 2021-01-09
  • S65 Uniform Investment Adviser Law Examination
    2024-12-28
  • S63 Uniform Securities Agent State Law Examination
    2021-01-09

View on SEC IAPD

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