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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 2024-07-16
TX RA APPROVED 2024-07-16
  • CA RA
    APPROVED
    Since 2024-07-16
  • TX RA
    APPROVED
    Since 2024-07-16

Branch Locations

San Diego, CA • 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
Massmutual Life Insurance Co. Los Angeles CA 04/2023 07/2024
Mml Investors Services, Llc Los Angeles CA 08/2023 07/2024
Sdc International Shipping Sherman Oaks CA 09/2020 01/2023
Self Employed Los Angeles CA 01/2014 Present
Self Employed Los Angeles CA 01/2014 Present
Cetera Wealth Services, Llc El Segundo CA 07/2024 Present
Cetera Investment Advisers Llc Schaumburg IL 07/2024 Present
Sam Mendel Los Angeles CA 01/2015 Present
  • 04/2023 → 07/2024
    Massmutual Life Insurance Co.
    Los Angeles, CA
  • 08/2023 → 07/2024
    Los Angeles, CA
  • 09/2020 → 01/2023
    Sdc International Shipping
    Sherman Oaks, CA
  • 01/2014 → Present
    Self Employed
    Los Angeles, CA
  • 01/2014 → Present
    Self Employed
    Los Angeles, CA
  • 07/2024 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 07/2024 → Present
    Schaumburg, IL
  • 01/2015 → Present
    Sam Mendel
    Los Angeles, CA
Previous Registrations
Other Businesses

1. NAME OF OTHER BUSINESS: SAM MENDEL INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: TO SUPPORT TOURING ARTISTS AND TEACH MUSIC START DATE: 01/2015 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: 2 APX NUMBER OF HOURS DURING TRADING HOURS: 2 BRIEF DESCRIPTION OF DUTIES: I TEACH MUSIC AND TOUR AT A BASS PLAYER WITH BANDS. 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: 05/2023; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 2; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SALES OF FIXED INSURANCE PRODUCTS;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-03-14
  • S66 Uniform Combined State Law Examination
    2024-03-14
Other Names
  • Samuel Mendel
  • Sam Mendel

View on SEC IAPD

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