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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
CT RA APPROVED 2024-05-14
  • CT RA
    APPROVED
    Since 2024-05-14

Branch Locations

101 East River Drive 4Th Floor, East Hartford, CT 06108 • 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 No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Infinex Investments, Inc. Hartford CT 06/1995 05/2024
Cetera Investment Services Llc Hartford CT 05/2024 Present
Cetera Investment Advisors Llc Hartford CT 05/2024 Present
  • 06/1995 → 05/2024
    Infinex Investments, Inc.
    Hartford, CT
  • 05/2024 → Present
    Cetera Investment Services Llc
    Hartford, CT
  • 05/2024 → Present
    Cetera Investment Advisors Llc
    Hartford, CT
Previous Registrations
  • 2016-09-21 → 2024-05-20
    Arlington, MA
    Danvers, MA
    Bethlehem, NH
    Charlestown, NH
    Claremont, NH
    Franconia, NH
    Walpole, NH
    Lancaster, NH
    Langdon, NH
    Littleton, NH
    Springfield, VT
    Keene, NH
    Littleton, NH
    West Roxbury, MA
    Worcester, MA
    Westwood, MA
    Holden, MA
    Roslindale, MA
    Charlestown, MA
    Worcester, MA
    Worcester, MA
    Worcester, MA
    Auburn, MA
    Worcester, MA
    New York, NY
    Barre, MA
    Lancaster, NH
    Hingham, MA
    Newburyport, MA
    Hingham, MA
    Walton, NY
    Andes, NY
    Stamford, NY
    Hamden, NY
    Franklin, NY
    Roxbury, NY
    Charlton, MA
    Framingham, MA
    Jewett City, CT
    Brooklyn, CT
    Watertown, MA
    Monson, MA
    Hampden, MA
    Wilbraham, MA
    Cambridge, MA
    Winchester, MA
    New York, NY
    Ipswich, MA
    Rowley, MA
    Salisbury, MA
    Newburyport, MA
    Newburyport, MA
    Ipswich, MA
    Newburyport, MA
    Boston, MA
    Essex, MA
    Rowley, MA
    Gloucester, MA
    N. Smithfield, RI
    Meriden, CT
    Marblehead, MA
    Marblehead, MA
    Meriden, CT
    Hingham, MA
    Whitinsville, MA
    Milford, MA
    Woonsocket, RI
    Hanover, NH
    Concord, NH
Other Businesses

TREASURER FOR KNIGHTS OF COLUMBUS, VIEW ONLY ACCESS TO BANK ACCOUNTS, CHECK WRITING IN DUAL CAPACITY, 3/HRS/WK

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-09-20
S63 Uniform Securities Agent State Law Examination 1986-06-23
  • S66 Uniform Combined State Law Examination
    2016-09-20
  • S63 Uniform Securities Agent State Law Examination
    1986-06-23
Other Names
  • Bob Carroll
  • Robert Patrick Carroll
  • Robert Patrick Carroll

View on SEC IAPD

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