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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
TX RA APPROVED 2024-01-09
  • TX RA
    APPROVED
    Since 2024-01-09

Branch Locations

9311 San Pedro Ste 750, San Antonio, TX 78216 • 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
H-E-B Grocery San Antonio TX 09/2017 05/2023
Aspect Wealth Management San Antonio TX 06/2023 Present
Empire Today Flooring Atlanta GA 04/2017 09/2017
Peachtree Company Tyrone GA 04/2015 04/2017
Feast San Antonio TX 07/2021 Present
Cetera Advisor Networks Llc El Segundo CA 07/2023 10/2023
Cetera Wealth Services, Llc El Segundo CA 10/2023 Present
Cetera Investment Advisers Llc Schaumburg IL 01/2024 Present
  • 09/2017 → 05/2023
    H-E-B Grocery
    San Antonio, TX
  • 06/2023 → Present
    Aspect Wealth Management
    San Antonio, TX
  • 04/2017 → 09/2017
    Empire Today Flooring
    Atlanta, GA
  • 04/2015 → 04/2017
    Peachtree Company
    Tyrone, GA
  • 07/2021 → Present
    Feast
    San Antonio, TX
  • 07/2023 → 10/2023
    Cetera Advisor Networks Llc
    El Segundo, CA
  • 10/2023 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 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: 11/2013 APX NUMBER OF HOURS PER WEEK: 5 APX NUMBER OF HOURS DURING TRADING HOURS: 3 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS FIXED INSURANCE PRODUCTS 2. NAME OF OTHER BUSINESS: TEENPACT LEADERSHIP SCHOOLS INVESTMENT RELATED: NO ADDRESS: 610 MOOREFIELD PARK DRIVE SUITE 700 RICHMOND, VA 23236 NATURE OF BUSINESS: CHARITABLE - EDUCATION START DATE: 11/2020 POSITION/TITLE/RELATIONSHIP: EXECUTIVE BOARD MEMBER APX NUMBER OF HOURS PER WEEK: 3 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: SERVE AS ONE OF THE 9 UNPAID VOLUNTEER EXECUTIVE BOARD MEMBERS 3. NAME OF OTHER BUSINESS: FEAST INVESTMENT RELATED: NO ADDRESS: 7735 MOCKINGBIRD LN SAN ANTONIO TX NATURE OF BUSINESS: EDUCATION START DATE: 07/2021 POSITION/TITLE/RELATIONSHIP: SECRETARY APX NUMBER OF HOURS PER WEEK: 3 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: EXECUTIVE BOARD MEMBER AND SECRETARY 4. NAME OF OTHER BUSINESS: ASPECT WEALTH MANAGEMENT INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 06/2023 POSITION/TITLE/RELATIONSHIP: CLIENT SERVICES ASSOCIATE APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: BACKEND PAPERWORK / CLIENT SCHEDULING

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-12-22
  • S66 Uniform Combined State Law Examination
    2023-12-22

View on SEC IAPD

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