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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
SC RA APPROVED 2023-06-29
TX RA APPROVED 2023-06-29
  • SC RA
    APPROVED
    Since 2023-06-29
  • TX RA
    APPROVED
    Since 2023-06-29

Branch Locations

Lancaster, SC • 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
Zenith Marketing Group/Zmg Financial Services Llc Charlotte NC 01/2008 06/2021
Voya Financial Advisors Charlotte NC 09/2014 06/2021
Cetera Wealth Services, Llc El Segundo CA 06/2021 Present
Gim Financial Solutions Llc Fort Mill SC 06/2021 Present
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
  • 01/2008 → 06/2021
    Zenith Marketing Group/Zmg Financial Services Llc
    Charlotte, NC
  • 09/2014 → 06/2021
    Voya Financial Advisors
    Charlotte, NC
  • 06/2021 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 06/2021 → Present
    Gim Financial Solutions Llc
    Fort Mill, SC
  • 06/2023 → Present
    Schaumburg, IL
Previous Registrations
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: 09/04/2018 APX NUMBER OF HOURS PER WEEK: 2 APX NUMBER OF HOURS DURING TRADING HOURS: 2 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, ANNUITIES AND LONG TERM CARE 2. NAME OF ENTITY: GIM FINANCIAL SOLUTIONS, LLC INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES\DBA START DATE: 6/25/2021 POSITION/TITLE/RELATIONSHIP: OSJ MANAGER NUMBER OF HOURS PER WEEK: 40 NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: SUPERVISION OF REPRESENTATIVES AND SELLS OF SECURITIES AND INSURANCE

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1995-01-11
  • S63 Uniform Securities Agent State Law Examination
    1995-01-11
Designations

View on SEC IAPD

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