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

Branch Locations

555 Long Wharf Drive 11Th Floor, New Haven, CT 06511 • United States

Disclosures

2 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 No
  • Criminal No
  • Bankruptcy Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien Yes
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Park Avenue Securities Madison CT 10/2014 10/2019
Guardian Life Ins Co Of America Madison CT 10/2014 10/2019
Guardian Life Insurance Company New Haven CT 11/2019 02/2023
Park Avenue Securities New Haven CT 11/2019 02/2023
Cetera Wealth Services, Llc El Segundo CA 02/2023 Present
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
  • 10/2014 → 10/2019
    Park Avenue Securities
    Madison, CT
  • 10/2014 → 10/2019
    Guardian Life Ins Co Of America
    Madison, CT
  • 11/2019 → 02/2023
    Guardian Life Insurance Company
    New Haven, CT
  • 11/2019 → 02/2023
    Park Avenue Securities
    New Haven, CT
  • 02/2023 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 06/2023 → Present
    Schaumburg, IL
Previous Registrations
Other Businesses

1. NAME OF OTHER BUSINESS: THE CONNECTION INC; INVESTMENT RELATED: NO; ADDRESS: 100 ROSCOMMON DRIVE, MIDDLETOWN, CT 06457; NATURE OF BUSINESS: COMMUNITY SERVICES; START DATE: 09/2015; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1; BRIEF DESCRIPTION OF DUTIES: GUIDANCE TO LEADERSHIP OF THE CONNECTION, INC. ESPECIALLY WITH REGARDS GOVERNANCE AND BEST BUSINESS PRACTICES; 2. NAME OF OTHER BUSINESS: WOOSTER SQUARE ADVISORS; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: SECURITIES DBA; START DATE: 02/2023; POSITION/TITLE/RELATIONSHIP: DIRECTOR OF WEALTH MANAGEMENT; APX NUMBER OF HOURS PER WEEK: 50; APX NUMBER OF HOURS DURING TRADING HOURS: 50; BRIEF DESCRIPTION OF DUTIES: TO DEVELOP INVESTMENT STRATEGIES FOR OUR CLIENTS. 3. NAME OF OTHER BUSINESS: CT WAVERUNNERS; INVESTMENT RELATED: NO; ADDRESS: 5 TUDOR COURT OLD SAYBROOK, CT 06475; NATURE OF BUSINESS: NON PROFIT; START DATE: 05/2024; POSITION/TITLE/RELATIONSHIP: PRESIDENT; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: STRATEGIC LEADERSHIP IN SUPPORT OF THE GROUPS MISSION; 4. NAME OF OTHER BUSINESS: CFA SOCIETY HARTFORD; INVESTMENT RELATED: NO; ADDRESS: PO BOX 266 GRANBY, CT 06035; NATURE OF BUSINESS: PROFESSIONAL ORGANIZATION; START DATE: 07/2024; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: HELP DIRECT THE ACTIVITIES OF THE SOCIETY IN SUPPORT OF MEMBERSHIP, DEVELOP AND LEAD PROGRAMS IN SUPPORT OF MEMBERS IN PRIVATE WEALTH MANAGERMENT;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2010-12-10
S63 Uniform Securities Agent State Law Examination 1986-09-18
  • S66 Uniform Combined State Law Examination
    2010-12-10
  • S63 Uniform Securities Agent State Law Examination
    1986-09-18
Other Names
  • Ray Bovich
  • Raymond Hugh Bovich
  • Raymond H Bovich

View on SEC IAPD

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