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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
NH RA APPROVED 2024-03-21
  • NH RA
    APPROVED
    Since 2024-03-21

Branch Locations

53 Technology Lane Suite 115, Conway, NH 03818 • 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
Investors Capital Corp. Conway NH 05/1998 10/2016
Cetera Advisors Llc Denver CO 10/2016 Present
Cetera Investment Advisers Llc Schaumburg IL 03/2024 Present
  • 05/1998 → 10/2016
    Investors Capital Corp.
    Conway, NH
  • 10/2016 → Present
    Cetera Advisors Llc
    Denver, CO
  • 03/2024 → Present
    Schaumburg, IL
Previous Registrations
  • 2004-06-14 → 2016-10-03
    Investors Capital Corp.
    Lynnfield, MA
    Lynnfield, MA
    Lynnfield, MA
    Conway, NH
    Lynnfield, MA
    Lynnfield, MA
  • 2003-01-29 → 2004-06-14
    Eastern Point Advisors Inc.
    Conway, NH
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: 1/2021; APX NUMBER OF HOURS PER WEEK: 4; APX NUMBER OF HOURS DURING TRADING HOURS: 4; POSITION/TITLE/RELATIONSHIP: AGENT; BRIEF DESCRIPTION OF DUTIES: SELLING LIFE, DISABILITY, ANNUITIES & LONG TERM CARE 2.NAME OF OTHER BUSINESS: AGENCY REVENUE TOOLS LLC, INVESTMENT RELATED: NO, ADDRESS: PO BOX 155, FRYEBURG, ME 04037, NATURE OF BUSINESS: SOFTWARE COMPANY, START DATE: 2001, APX NUMBER OF HOURS PER WEEK: 20, APX NUMBER OF TRADING HOURS PER WEEK: 20, POSITION/TITLE/RELATIONSHIP: VICE PRESIDENT, BRIEF DESCRIPTION OF DUTIES: SALES, SUPPORT, OPERATIONS & MANAGEMENT; 3.NAME OF OTHER BUSINESS: KING PINE SKI AREA, INVESTMENT RELATED: NO, ADDRESS:RT 153 EAST MADISON, NH 03849, NATURE OF BUSINESS: SKI INSTRUCTOR, START DATE: 1/1970, APX NUMBER OF HOURS PER WEEK: 12, APX NUMBER OF TRADING HOURS PER WEEK: 12, POSITION/TITLE/RELATIONSHIP: TECHNICAL DIRECTOR, BRIEF DESCRIPTION OF DUTIES:SKI RACE COACHING; 4.NAME OF OTHER BUSINESS: SAYBRUS, INVESTMENT RELATED: YES, ADDRESS: PO BOX 5056 HARTFORD CT 06102, NATURE OF BUSINESS: INSURANCE SALES, START DATE: 2013, APX NUMBER OF HOURS PER WEEK: 3, APX NUMBER OF TRADING HOURS PER WEEK: 3, POSITION/TITLE/RELATIONSHIP: INSURANCE BROKER, BRIEF DESCRIPTION OF DUTIES: HIGH NETWORTH CLIENT LIFE INSURANCE SALES; 5.NAME OF OTHER BUSINESS: JUSTICE OF THE PEACE INVESTMENT RELATED: NO ADDRESS: PO BOX 502 CENTER CONWAY NH 03813 NATURE OF BUSINESS: PERFORM WEDDING CERAMONIES START DATE: 8/2017 POSITION/TITLE/RELATIONSHIP: JUSTICE OF THE PEACE APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 1 BRIEF DESCRIPTION OF DUTIES: PERFORM WEDDING CEREMONIES 6.NAME OF OTHER BUSINESS: SHORT TERM/SEASONAL RENTALS INVESTMENT RELATED: NO ADDRESS: 8 CROOKED PINE RD MADISON NH 03849 NATURE OF BUSINESS: REAL ESTATE RENTAL START DATE: 1/2018 APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 1 POSITION/TITLE/RELATIONSHIP: OWNER BRIEF DESCRIPTION OF DUTIES: MAINTAIN BUILDING, AGREE TO TERMS WITH RENTERS 7.NAME OF OTHER BUSINESS: WRITING INVESTMENT RELATED: NO ADDRESS: SAME AS RESIDENTIAL ADDRESS NATURE OF BUSINESS: WRITING START DATE: 1/2018 APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 1 POSITION/TITLE/RELATIONSHIP: WRITER BRIEF DESCRIPTION OF DUTIES: WRITING ABOUT OUTDOOR ACTIVITIES 8. NAME OF OTHER BUSINESS: KING PINE AREA ASSOCIATION ; INVESTMENT RELATED: NO ; ADDRESS: SAME AS RESIDENTIAL ADDRESS ; NATURE OF BUSINESS: HOMEOWNERS ASSOCIATION ; START DATE: 01/2020 ; POSITION/TITLE/RELATIONSHIP: PRESIDENT ; APX NUMBER OF HOURS PER WEEK: 1-2 ; APX NUMBER OF HOURS DURING TRADING HOURS: 1-2 ; BRIEF DESCRIPTION OF DUTIES: COMMUNICATE WITH MEMBERS AND ORGANIZE MEETINGS ;

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-11-30
S63 Uniform Securities Agent State Law Examination 1986-01-21
  • S65 Uniform Investment Adviser Law Examination
    1998-11-30
  • S63 Uniform Securities Agent State Law Examination
    1986-01-21

View on SEC IAPD

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