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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 2023-06-29
TX RA APPROVED 2023-06-29
  • CA RA
    APPROVED
    Since 2023-06-29
  • TX RA
    APPROVED
    Since 2023-06-29

Branch Locations

15141 E Whittier Blvd Ste 550, Whittier, CA 90603 • 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
University Of Southern California Los Angeles CA 09/1983 09/2020
Quantum Econometrics, Llc Whittier CA 05/2012 12/2023
Cetera Wealth Services, Llc El Segundo CA 01/2013 Present
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
  • 09/1983 → 09/2020
    University Of Southern California
    Los Angeles, CA
  • 05/2012 → 12/2023
    Quantum Econometrics, Llc
    Whittier, CA
  • 01/2013 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 06/2023 → Present
    Schaumburg, IL
Previous Registrations
  • 2012-05-04 → 2023-11-22
    Quantum Econometrics, Llc
    Whittier, 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: 1997 APX NUMBER OF HOURS PER WEEK: VARIES APX NUMBER OF HOURS DURING TRADING HOURS: VARIES POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE 2. NAME OF OTHER BUSINESS: FRIENDLY HILLS COUNTRY CLUB; INVESTMENT RELATED: NO; ADDRESS: 8500 VILLAVERDE DRIVE, WHITTIER, CA 90605; NATURE OF BUSINESS: PRIVATE GOLF COUNTRY CLUB; START DATE: 08/2023; POSITION/TITLE/RELATIONSHIP: FINANCE COMMITTEE MEMBER; APX NUMBER OF HOURS PER WEEK: LESS THAN 1 HOUR; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES; BRIEF DESCRIPTION OF DUTIES: OVERSEE CLUBS FINANCIALS AND BUDGET, ADDITIONAL SIGNER ON CLUBS CHECKING ACCOUNT; 3. NAME OF OTHER BUSINESS: D & R ASSET MANAGEMENT; INVESTMENT RELATED: NO; ADDRESS: SAME AS RESIDENTIAL LOCATION; NATURE OF BUSINESS: EXPENSE MANAGEMENT; START DATE: 12/2024; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1 BRIEF DESCRIPTION OF DUTIES: CREATED FOR EXPENSE MANAGEMENT; 4. NAME OF OTHER BUSINESS: WHITTIER BUSINESS SERVICES LLC; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: EXPENSE MANAGEMENT; START DATE: 01/2026; POSITION/TITLE/RELATIONSHIP: MEMBER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: PURELY FOR THE PURPOSE OF PAYING EXPENSES OF THE WHITTIER BRANCH;

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1994-09-09
  • S63 Uniform Securities Agent State Law Examination
    1994-09-09
Designations

View on SEC IAPD

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