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

Branch Locations

5655 S Yosemite Ste 300, Greenwood Village, CO 80111 • 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
First Financial Equity Corp Denver CO 01/2015 04/2022
Ffec Advisory Group Llc D/B/A Executive Wealth Planning Partners Denver CO 01/2015 12/2017
Cetera Wealth Services, Llc El Segundo CA 04/2022 Present
Executive Wealth Planning Greenwood Village CO 02/2015 Present
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
  • 01/2015 → 04/2022
    First Financial Equity Corp
    Denver, CO
  • 01/2015 → 12/2017
    Ffec Advisory Group Llc D/B/A Executive Wealth Planning Partners
    Denver, CO
  • 04/2022 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 02/2015 → Present
    Executive Wealth Planning
    Greenwood Village, CO
  • 06/2023 → Present
    Schaumburg, IL
Previous Registrations
  • 2015-01-16 → 2022-04-20
    Ffec Wealth Partners Llc
    Denver, CO
    Greenwood Village, CO
  • 2015-01-22 → 2017-12-31
    Denver, CO
  • 2009-06-01 → 2015-01-27
    Denver, CO
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Denver, CO
  • 1999-06-14 → 2007-04-02
    Morgan Stanley Dw Inc.
    Denver, CO
    Denver, CO
Other Businesses

1. NAME OF OTHER BUSINESS: BARRINGER FAMILY LLC; INVESTMENT RELATED: NO; ADDRESS: LAKEWOOD, CO 80215; NATURE OF BUSINESS: FAMILY BUSINESS / INHERITED REAL ESTATE HOLDINGS; START DATE: 07/2019; POSITION/TITLE/RELATIONSHIP: REGISTERED AGENT; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1; BRIEF DESCRIPTION OF DUTIES: I DO THE BOOKKEEPING FOR THE ENTITY; 2. NAME OF OTHER BUSINESS: MYSYTOCKOPTIONS.COM; INVESTMENT RELATED: NO; ADDRESS: BROOKLINE, MA 02446; NATURE OF BUSINESS: PROVIDES FINANCIAL PLANNING ADVICE TO HOLDERS OF EQUITY COMPENSATION; START DATE: 02/2000; POSITION/TITLE/RELATIONSHIP CONTRIBUTING EDITOR / ADVISORY BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1; BRIEF DESCRIPTION OF DUTIES: OFFER INPUT IN DISCUSSIONS ABOUT FUTURE BUSINESS VENTURES, WRITE ARTICLES ON THE TOPIC OF EQUITY AS COMPENSATION FOR THE WEBSITE; 3. NAME OF OTHER BUSINESS: EXECUTIVE WEALTH PLANNING; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 02/2015; POSITION/TITLE/RELATIONSHIP: MANAGING PARTNER; APX NUMBER OF HOURS PER WEEK: 5; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: BROKER DEALER, ADVISORY, FINANCIAL PLANNING AND INSURANCE BUSINESS; 4. NAME OF OTHER BUSINESS: FFEC WEALTH PARTNERS; INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 04/2022, POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL, 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 1996-02-16
S63 Uniform Securities Agent State Law Examination 1986-10-23
  • S65 Uniform Investment Adviser Law Examination
    1996-02-16
  • S63 Uniform Securities Agent State Law Examination
    1986-10-23
Designations

View on SEC IAPD

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