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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
RI RA APPROVED 2024-10-09
  • RI RA
    APPROVED
    Since 2024-10-09

Branch Locations

35 South County Commons Way Unit D5, South Kingstown, RI 02879 • 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
Barnum Financial Group Warwick RI 06/2023 07/2023
South Kingstown Town Beach South Kingstown RI 05/2023 09/2023
Little Rhody Lobster And Seafood Ashaway RI 04/2021 08/2021
Dunkin' Richmond RI 03/2021 04/2021
Cvs Westerly RI 06/2020 03/2021
Chariho Regional School District Wood River Junction RI 06/2014 06/2020
Bentley University Waltham MA 06/2020 05/2024
Cetera Wealth Services, Llc El Segundo CA 06/2024 Present
Cetera Investment Advisers Llc Schaumburg IL 10/2024 Present
  • 06/2023 → 07/2023
    Barnum Financial Group
    Warwick, RI
  • 05/2023 → 09/2023
    South Kingstown Town Beach
    South Kingstown, RI
  • 04/2021 → 08/2021
    Little Rhody Lobster And Seafood
    Ashaway, RI
  • 03/2021 → 04/2021
    Dunkin'
    Richmond, RI
  • 06/2020 → 03/2021
    Cvs
    Westerly, RI
  • 06/2014 → 06/2020
    Chariho Regional School District
    Wood River Junction, RI
  • 06/2020 → 05/2024
    Bentley University
    Waltham, MA
  • 06/2024 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 10/2024 → Present
    Schaumburg, IL
Other Businesses

1. NAME OF OTHER BUSINESS: PIONEER FINANCIAL GROUP; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES FIRM; START DATE: 07/2024; POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 40; BRIEF DESCRIPTION OF DUTIES: FINANCIAL PLANNING, COMMISSION AND ADVISORY BASED ACCOUNTS AND SERVICING; 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: 04/2025 APX NUMBER OF HOURS PER WEEK: 5, APX NUMBER OF HOURS DURING TRADING HOURS: 5, POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT, BRIEF DESCRIPTION OF DUTIES: SALES OF FIXED INSURANCE PRODUCTS; 3.NAME OF OTHER BUSINESS: NOTARY INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: NOTARY START DATE: 3/15/2025 POSITION/TITLE/RELATIONSHIP: NOTARY APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 1 BRIEF DESCRIPTION OF DUTIES: NOTARIZATION

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-10-07
  • S66 Uniform Combined State Law Examination
    2024-10-07
Other Names
  • Max Feeney

View on SEC IAPD

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