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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
SC RA APPROVED 2024-01-11
  • SC RA
    APPROVED
    Since 2024-01-11

Branch Locations

201 Ministry Dr, Irmo, SC 29063 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Stokes Trainor Chevrolet Buick Gmc Newberry SC 01/2022 05/2023
American Senior Benefits Greenville SC 01/2021 01/2022
Anytime Fitness Chapin SC 06/2019 04/2020
Anytime Fitness Newberry SC 04/2019 01/2021
Newberry Country Club Newberry SC 04/2019 05/2019
Highland Industries Cheraw SC 06/2018 08/2018
Mooree's Cheraw Country Club Cheraw SC 05/2018 08/2018
Greenriver Country Club Chesterfield SC 05/2018 08/2018
Legal Shield Chesterfield SC 12/2017 02/2018
Newberry College Newberry SC 08/2015 12/2019
Cetera Wealth Services, Llc El Segundo CA 10/2023 Present
Cetera Advisor Networks Llc El Segundo CA 05/2023 10/2023
South Carolina Independent School Association - Scisa Orangeburg SC 09/2023 Present
Sides Financial Strategies / Financial Principles, Inc. Irmo SC 05/2023 Present
Cetera Investment Advisers Llc Schaumburg IL 01/2024 Present
  • 01/2022 → 05/2023
    Stokes Trainor Chevrolet Buick Gmc
    Newberry, SC
  • 01/2021 → 01/2022
    American Senior Benefits
    Greenville, SC
  • 06/2019 → 04/2020
    Anytime Fitness
    Chapin, SC
  • 04/2019 → 01/2021
    Anytime Fitness
    Newberry, SC
  • 04/2019 → 05/2019
    Newberry Country Club
    Newberry, SC
  • 06/2018 → 08/2018
    Highland Industries
    Cheraw, SC
  • 05/2018 → 08/2018
    Mooree's Cheraw Country Club
    Cheraw, SC
  • 05/2018 → 08/2018
    Greenriver Country Club
    Chesterfield, SC
  • 12/2017 → 02/2018
    Legal Shield
    Chesterfield, SC
  • 08/2015 → 12/2019
    Newberry College
    Newberry, SC
  • 10/2023 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 05/2023 → 10/2023
    Cetera Advisor Networks Llc
    El Segundo, CA
  • 09/2023 → Present
    South Carolina Independent School Association - Scisa
    Orangeburg, SC
  • 05/2023 → Present
    Sides Financial Strategies / Financial Principles, Inc.
    Irmo, SC
  • 01/2024 → Present
    Schaumburg, IL
Other Businesses

1. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 09/2020; 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; 2. NAME OF OTHER BUSINESS: SOUTH CAROLINA INDEPENDENT SCHOOL ASSOCIATION - SCISA; INVESTMENT RELATED: NO; ADDRESS: ORANGEBURG, SC 29118; NATURE OF BUSINESS: HELP REGULATE HIGH SCHOOL FOOTBALL GAMES AND SEE THAT ALL OF THE RULES ARE FOLLOWED, AND THE GAME IS CONDUCTED SMOOTHLY; START DATE: 09/2023; POSITION/TITLE/RELATIONSHIP: FOOTBALL OFFICIAL; APX NUMBER OF HOURS PER WEEK: 4; APX NUMBER OF HOURS DURING TRADING HOURS: NONE; BRIEF DESCRIPTION OF DUTIES: PARTICIPATE IN HIGH SCHOOL LEAGUE FOOTBALL GAMES AS AN ON THE FIELD OFFICIAL; 3. NAME OF OTHER BUSINESS: SIDES FINANCIAL STRATEGIES / FINANCIAL PRINCIPLES, INC.; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 05/2023; POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 30; BRIEF DESCRIPTION OF DUTIES: STUDYING AND LEARNING THE FINANCIAL ADVISING BUSINESS. SIMPLE TASKS LIKE PREPPING PAPERWORK FOR APPOINTMENTS, HELPING ORGANIZE FOR REVIEWS, ETC.; 4. NAME OF OTHER BUSINESS: PALMETTO MEN'S CLUB; INVESTMENT RELATED: NO; ADDRESS: 121 REDFEARN ST CHESTERFIELD, SC 29709 NATURE OF BUSINESS: NON PROFIT; START DATE: 11/2023; POSITION/TITLE/RELATIONSHIP: COLUMBIA PHILANTHROPY REPRESENTATIVE; APX NUMBER OF HOURS PER WEEK: 5; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: OVERSEE COLUMBIA REGION, HELP ORGANIZE EVENTS SUCH AS TOY DRIVES, GIVEAWAYS AND SPEAKER EVENTS, MEMBERSHIP INFORMATION; 5. NAME OF OTHER BUSINESS: CHAPIN CHAMBER OF COMMERCE; INVESTMENT RELATED: NO; ADDRESS: 302 COLUMBIA AVE CHAPIN, SC 29036; NATURE OF BUSINESS: NETWORKING ORGANIZATION; START DATE: 05/2024 POSITION/TITLE/RELATIONSHIP: MEMBER; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: BUSINESS NETWORKING PURPOSES, PERFORMING OUTREACH TO NEARBY COMMUNITIES 6. NAME OF OTHER BUSINESS: TAKE IT DOWN A NOTCH PODCAST; INVESTMENT RELATED: NO; ADDRESS: SAME AS RESIDENTIAL LOCATION; NATURE OF BUSINESS: PODCAST; START DATE: 04/2025; POSITION/TITLE/RELATIONSHIP: CO-HOST; APX NUMBER OF HOURS PER WEEK: 3; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: CO HOST FOR ENTERTAINMENT PURPOSES SUCH AS MEDIA TOPICS, SPORTS AND MUSIC; 7. NAME OF OTHER BUSINESS: RUSHTON COMMUNITY HOA, INVESTMENT RELATED: NO, ADDRESS: SAME AS RESIDENTIAL ADDRESS; NATURE OF BUSINESS: HOA, START DATE: 04/2025, POSITION/TITLE/RELATIONSHIP: NOMINATED BOARD MEMBER, APX NUMBER OF HOURS PER WEEK: 2, APX NUMBER OF HOURS DURING TRADING HOURS: 0, BRIEF DESCRIPTION OF DUTIES: OVERSEE OUR OPERATIONS SUCH AS NEIGHBORHOOD OUTREACH AND QUALITY CONTROL, PARTNERSHIPS WITH BUSINESSES FOR LANDSCAPING, POOL MAINTENANCE, ETC., AND HELPING TO MAINTAIN A COMMUNITY BUDGET THAT DOES NOT INCREASE OUR FEES/DUES TO OUR HOMEOWNERS; 8. NAME OF OTHER BUSINESS: MIDLANDS TECHNICAL COLLEGE HARBISON CAMPUS; INVESTMENT RELATED: NO; ADDRESS: 7300 COLLEGE ST, IRMO, SC 29063; NATURE OF BUSINESS: COLLEGE COURSE; START DATE: 10/2025; POSITION/TITLE/RELATIONSHIP: INSTRUCTOR; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: INSTRUCT COURSE;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-12-14
  • S66 Uniform Combined State Law Examination
    2023-12-14

View on SEC IAPD

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