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

Branch Locations

25A Vreeland Rd Ste 303, Florham Park, NJ 07932 • 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
Cetera Wealth Services, Llc El Segundo CA 01/2013 Present
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
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: NOVEMBER 1, 2012, 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, ANNUITIES AND LONG TERM CARE; 2. NAME OF OTHER BUSINESS: FEDERAL RETIREMENT AND ESTATE SERVICES, INC, INVESTMENT RELATED: NO, ADDRESS: 28 LONGVIEW DR WHIPPANY NJ 07981, NATURE OF BUSINESS: FIXED INSURANCE, START DATE: NOVEMBER 2000, APX NUMBER OF HOURS PER WEEK: VARIES, APX NUMBER OF HOURS DURING TRADING HOURS: VARIES, BRIEF DESCRIPTION OF DUTIES: SELL FIXED INSURANCE PRODUCTS; 3. NAME OF OTHER BUSINESS: FINANCIAL NETWORK, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, POSITION/TITLE/RELATIONSHIP: AFFILIATED PERSON, START DATE: 01/02/2013, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2017-06-22
S63 Uniform Securities Agent State Law Examination 2005-02-11
  • S65 Uniform Investment Adviser Law Examination
    2017-06-22
  • S63 Uniform Securities Agent State Law Examination
    2005-02-11
Other Names
  • Robert C Kane

View on SEC IAPD

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