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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 2024-08-22
  • CA RA
    APPROVED
    Since 2024-08-22

Branch Locations

25500 Hawthorne Blvd Ste 1140, Torrance, CA 90505 • 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
Enenstein Pham & Glass Los Angeles CA 07/2022 09/2022
Granite Investment Partners El Segundo CA 01/2022 05/2022
Pacific Office Automation Downey CA 04/2021 08/2021
Student Santa Barbara CA 08/2016 06/2020
Unemployed Na CA 09/2021 01/2022
Unemployed Na CA 10/2022 06/2023
Aps Services Torrance CA 07/2023 Present
Unemployed Na CA 06/2020 04/2021
Cetera Advisor Networks Llc El Segundo CA 06/2023 10/2023
Cetera Wealth Services, Llc El Segundo CO 10/2023 Present
Cetera Investment Advisers Llc Schaumburg IL 08/2024 Present
  • 07/2022 → 09/2022
    Enenstein Pham & Glass
    Los Angeles, CA
  • 01/2022 → 05/2022
    Granite Investment Partners
    El Segundo, CA
  • 04/2021 → 08/2021
    Pacific Office Automation
    Downey, CA
  • 08/2016 → 06/2020
    Student
    Santa Barbara, CA
  • 09/2021 → 01/2022
    Unemployed
    Na, CA
  • 10/2022 → 06/2023
    Unemployed
    Na, CA
  • 07/2023 → Present
    Aps Services
    Torrance, CA
  • 06/2020 → 04/2021
    Unemployed
    Na, CA
  • 06/2023 → 10/2023
    Cetera Advisor Networks Llc
    El Segundo, CA
  • 10/2023 → Present
    Cetera Wealth Services, Llc
    El Segundo, CO
  • 08/2024 → Present
    Schaumburg, IL
Other Businesses

1. NAME OF OTHER BUSINESS: APS SERVICES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL PLANNING START DATE: 7/2023 POSITION/TITLE/RELATIONSHIP: ADMINISTRATIVE ASSISTANT APX NUMBER OF HOURS PER WEEK: 20 APX NUMBER OF HOURS DURING TRADING HOURS: 20 BRIEF DESCRIPTION OF DUTIES: ADMINISTRATIVE ASSISTANT TO MARK TSUJIMOTO AS WELL AS BRANCH OFFICE CLERICAL WORK;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-02-01
  • S66 Uniform Combined State Law Examination
    2024-02-01
Other Names
  • William Nguyen

View on SEC IAPD

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