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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
CA RA APPROVED 2026-08-14
TX RA APPROVED_RES 2026-08-14
  • CA RA
    APPROVED
    Since 2026-08-14
  • TX RA
    APPROVED_RES
    Since 2026-08-14

Branch Locations

9301 Corbin Ave. Ste. 1800, Northridge, CA 91324 • United States

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2025-06-05
TX RA APPROVED_RES 2025-06-05
  • CA RA
    APPROVED
    Since 2025-06-05
  • TX RA
    APPROVED_RES
    Since 2025-06-05

Branch Locations

9301 Corbin Ave Ste 1800, Northridge, CA 91324 • United States

Disclosures

3 disclosure categories 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 Yes
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination Yes
Employment History
OrganizationCityStateFromTo
Financial West Group Westlake Village CA 10/2008 08/2017
Western International Securities, Inc. Pasadena CA 08/2017 06/2025
Lpl Financial Llc Northridge CA 06/2025 08/2026
Matador Properties; Northridge CA 06/1987 Present
Cetera Wealth Services, Llc El Segundo CA 08/2026 Present
Cetera Investment Advisers Llc Schaumburg IL 08/2026 Present
Breard & Associates, Llp Northridge CA 01/2017 Present
  • 10/2008 → 08/2017
    Financial West Group
    Westlake Village, CA
  • 08/2017 → 06/2025
    Western International Securities, Inc.
    Pasadena, CA
  • 06/2025 → 08/2026
    Northridge, CA
  • 06/1987 → Present
    Matador Properties;
    Northridge, CA
  • 08/2026 → Present
    Cetera Wealth Services, Llc
    El Segundo , CA
  • 08/2026 → Present
    Schaumburg, IL
  • 01/2017 → Present
    Breard & Associates, Llp
    Northridge, CA
Previous Registrations
  • 2017-08-21 → 2025-06-05
    Western International Securities, Inc.
    Northridge, CA
    Clovis, CA
    Northridge, CA
    Pasadena, CA
  • 2008-10-27 → 2017-08-21
    Financial West Group
    Westlake Village, CA
    Northridge, CA
    Northridge, CA
    Reno, NV
  • 2002-06-24 → 2007-06-27
    Brookstreet Securities Corporation
    Northridge, CA
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: 01/1988; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: none; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SALES OF FIXED INSURANCE PRODUCTS; 2. NAME OF OTHER BUSINESS: SIERRA RIDGE ADVISOR GROUP; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES DBA; START DATE: 04/2026; POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: NONE; BRIEF DESCRIPTION OF DUTIES: FINANCIAL SERVICES; 3. NAME OF OTHER BUSINESS: DEYOUNG WEALTH MANAGEMENT; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 08/2026; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 40; BRIEF DESCRIPTION OF DUTIES: OFFERING SECURITIES AND FINANCIAL PLANNING; 4. NAME OF OTHER BUSINESS: THE ROBERT P. AMMAN MEMORIAL CAMPERSHIP FUND; INVESTMENT RELATED: NO; ADDRESS: VAN NUYS, CA 91406; NATURE OF BUSINESS: BOARD POSITION / CHARITABLE FUND; START DATE: 06/1994; POSITION/TITLE/RELATIONSHIP: TREASURER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: NONE; BRIEF DESCRIPTION OF DUTIES: PREPARE ANNUAL TAX FORMS, MAKE DISBURSEMENTS, DEPOSIT CONTRIBUTIONS; 5. NAME OF OTHER BUSINESS: CALIFORNIA 4-H FOUNDATION - UC ANR; INVESTMENT RELATED: NO; ADDRESS: DAVIS, CA 95618; NATURE OF BUSINESS: BOARD / FOUNDATION; START DATE: 06/2024; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: NONE; BRIEF DESCRIPTION OF DUTIES: SUPPORT THE MISSION AND PHILANTHROPIC EFFORTS OF THE CALIFORNIA 4-H YOUTH DEVELOPMENT PROGRAM; 6. NAME OF OTHER BUSINESS: BREARD & ASSOCIATES, LLP; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: TAX PREPARATION SERVICES; START DATE: 01/2017; POSITION/TITLE/RELATIONSHIP: TAX PREPARER APX NUMBER OF HOURS PER WEEK: 10; APX NUMBER OF HOURS DURING TRADING HOURS: NONE; BRIEF DESCRIPTION OF DUTIES: PREPARE TAX RETURNS; 7. NAME OF OTHER BUSINESS: MATADOR PROPERTIES; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: REAL ESTATE; START DATE: 06/1987; POSITION/TITLE/RELATIONSHIP: PRESIDENT; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: NONE; BRIEF DESCRIPTION OF DUTIES: REPRESENTING BUYERS AND SELLERS OF SINGLE FAMILY RESIDENTIAL REAL ESTATE; 8. NAME OF OTHER BUSINESS: NOTARY PUBLIC; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: NOTARY PUBLIC; START DATE: 05/2025; POSITION/TITLE/RELATIONSHIP: NOTARY PUBLIC; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: NONE; BRIEF DESCRIPTION OF DUTIES: PROVIDE NOTARY SERVICES;

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-06-05
S63 Uniform Securities Agent State Law Examination 1987-08-27
  • S65 Uniform Investment Adviser Law Examination
    1998-06-05
  • S63 Uniform Securities Agent State Law Examination
    1987-08-27
Designations

View on SEC IAPD

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