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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
VA RA APPROVED 2023-06-29
  • VA RA
    APPROVED
    Since 2023-06-29

Branch Locations

2727 Buford Rd Ste B-1, North Chesterfield, VA 23235 • 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
Allianz Life Dallas TX 05/1978 Present
Fidelity Union Richmond VA 05/1978 Present
Voya Financial Advisors North Chesterfield VA 09/2014 06/2021
Cetera Wealth Services, Llc El Segundo CA 06/2021 Present
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
  • 05/1978 → Present
    Allianz Life
    Dallas, TX
  • 05/1978 → Present
    Fidelity Union
    Richmond, VA
  • 09/2014 → 06/2021
    Voya Financial Advisors
    North Chesterfield, VA
  • 06/2021 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 06/2023 → Present
    Schaumburg, IL
Previous Registrations
  • 2004-01-01 → 2021-06-09
    Newark, DE
    Richmond, VA
    North Chesterfield, VA
  • 2002-08-06 → 2004-01-01
    Locust Street Securities, Inc.
    Richmond, VA
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: 08/2009 ; 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 HEALTH, DISABILITY AND LONG TERM CARE ;

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1986-02-21
  • S63 Uniform Securities Agent State Law Examination
    1986-02-21
Designations

View on SEC IAPD

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