Alison Epstein

Current Employers

Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2023-06-29

NY RA
APPROVED

Since 2023-06-29

Branch Locations

New York, NY • 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

Organization	City	State	From	To
Cetera Wealth Services, Llc	El Segundo	CA	09/2013	Present
Cetera Investment Advisers Llc	Schaumburg	IL	06/2023	Present

09/2013 → Present

Cetera Wealth Services, Llc

El Segundo, CA
06/2023 → Present

Cetera Investment Advisers Llc

Schaumburg, IL

Previous Registrations

2010-08-26 → 2012-11-30

Vicus Capital, Inc.

New York, NY

Other Businesses

(1) INDEPENDENT INSURANCE AGENT SELLING DISABILITY, LTC FOR JOHN HANCOCK FROM BUSINESS ADDRESS FOR 2 WKDY HRS/WK SINCE 1/1990. (2) INDEPENDENT INSURANCE AGENT SELLING DISABILITY, FIXED ANNUITIES, LIFE, ACCIDENT, HEALTH, LTC, MEDICARE RELATED PRODUCTS FROM BUSINESS ADDRESS FOR 4 WKDY AND 4 EVE/WKND HRS/WK SINCE 1/1995. (3) ALISON EPSTEIN, NOT INVESTMENT RELATED, SAME AS REGISTERED LOCATION, TAX PREPARATION, STARTED 8/2012, OWNER, APX 1 HOUR PER WEEK, VARIES DURING TRADING HOURS, TAX PREP AND BOOKING.

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1986-09-15

S63 Uniform Securities Agent State Law Examination

1986-09-15

Designations

Other Names

Alison Epstein
Alison Granowitz
Allison Epstein

View on SEC IAPD