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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_RES 2023-06-29
VA RA APPROVED 2023-06-29
  • TX RA
    APPROVED_RES
    Since 2023-06-29
  • VA RA
    APPROVED
    Since 2023-06-29

Branch Locations

1919 Gallows Road Ste 600, Vienna, VA 22182 • 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 Yes
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Voya Financial Advisors Vienna VA 09/2014 06/2021
Cetera Wealth Services, Llc El Segundo CA 06/2021 Present
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
  • 09/2014 → 06/2021
    Voya Financial Advisors
    Vienna, VA
  • 06/2021 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 06/2023 → Present
    Schaumburg, IL
Previous Registrations
  • 2009-05-12 → 2021-06-09
    Vienna, VA
    Bridgewater, NJ
    Windsor, CT
  • 2002-09-17 → 2009-05-04
    Banc Of America Investment Services, Inc.
    Washington, DC
    Washington, DC
Other Businesses

(1) NAME OF ENTITY:EGAN BERGER & WEINER, LLC; Yes; 1919 GALLOWS RD STE 600; VIENNA; VA; 22182; FINANCIAL SERVICES/DBA; FINANCIAL PLANNER; 5/1/2009; 160; 160; SALE INSURANCE,SECURITIES AND INVESTMENT PRODUCTS (2) NAME OF ENTITY:FINANCIAL PLANNING ASSOCIATION-NATIONAL CAPITAL; No; 12816 TEWKSBURY DR; HERNDON; VA; 20171; NON-PROFIT ORGANIZATION; DIRECTOR OF SPONSORSHIP/BOARD MEMBER; 1/1/2014; 3; 3; RECRUIT SPONSORS FOR THE CHAPTER, ACT AS LIASON FOR SPONSORS. (3) NAME OF ENTITY: INDEPENDENT INSURANCE AGENT; YES; 1919 GALLOWS RD STE 600; VIENNA; VA; 22182; FIXED INSURANCE SALES; INDEPENDENT INSURANCE AGENT; 4/15/2009; 160; 160; SALES OF FIXED INSURANCE PRODUCTS (4) NAME OF ENTITY:FAMILY REACH; YES; 1719 ROUTE 10, STE 303; PARSIPPANY; NJ; 07054; NON-PROFIT ORGANIZATION-PRO-BONO ADVICE TO CANCER PATIENTS; PRO-BONO PLANNER; 3/10/2020; 4; 0; PRO-BONO ADVICE TO CANCER PATIENTS (5) NAME OF OTHER BUSINESS: PLANNING INC ; INVESTMENT RELATED: NO ; ADDRESS: 7010 LITTLE RIVER, TURNPIKE, STE 140, ANNANDALE, VA 22003 NATURE OF BUSINESS: RETIREMENT PRESENTATION ; START DATE: 06/2015 ; POSITION/TITLE/RELATIONSHIP: PRESENTER ; APX NUMBER OF HOURS PER WEEK: 2 ; APX NUMBER OF HOURS DURING TRADING HOURS: 2 ; BRIEF DESCRIPTION OF DUTIES: PROVIDING INFORMATIVE RETIREMENT PRESENTATION TO FEDERAL EMPLOYEES ; (6) NAME OF OTHER BUSINESS: EBW RISK MANAGEMENT, LLC; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: HOLDING COMPANY; START DATE: 01/2018; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 0; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: HOLDING COMPANY FOR INSURANCE BUSINESS; (7) NAME OF OTHER BUSINESS: EGAN, BEATTY, PRESSMAN, INC; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: HOLDING COMPANY; START DATE: 01/2018; POSITION/TITLE/RELATIONSHIP: SECRETARY; APX NUMBER OF HOURS PER WEEK: 0; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: HOLDING COMPANY FOR LLC BUSINESSES;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-08-28
S63 Uniform Securities Agent State Law Examination 1999-05-21
  • S66 Uniform Combined State Law Examination
    2002-08-28
  • S63 Uniform Securities Agent State Law Examination
    1999-05-21
Designations

View on SEC IAPD

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