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

Branch Locations

619 Woodworth Ave, Suite 201, Clovis, CA 93612 • United States

952 Pollasky Ave, Clovis, CA 93612 • 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
Pacific Mutual Fresno CA 06/1984 Present
Cetera Wealth Services, Llc El Segundo CA 01/2013 Present
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
  • 06/1984 → Present
    Pacific Mutual
    Fresno, CA
  • 01/2013 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 06/2023 → Present
    Schaumburg, IL
Other Businesses

1. FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED, SAME AS REGISTERED ADDRESS, FIXED INSURANCE, START 08/16/2011, 38HRS/WK (32.5 TRADING HOURS), INSURANCE AGENT - SELLS LIFE, HEALTH, DISABILITY, AND LONG-TERM CARE; 2. NAME OF OTHER BUSINESS: PIGOTT FINANCIAL & INSURANCE SERVICES ; INVESTMENT RELATED: YES ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: GROUP INSURANCE & FINANCIAL SERVICES ; START DATE: 02/2019 ; POSITION/TITLE/RELATIONSHIP: CO-OWNER ; APX NUMBER OF HOURS PER WEEK: 10 ; APX NUMBER OF HOURS DURING TRADING HOURS: 10 ; BRIEF DESCRIPTION OF DUTIES: MANAGE GROUP BUSINESS. INSURANCE SERVICES, CLAIMS & RENEWALS. TAX PREP FOR FACILITIES AND PERSONNEL ; 3. NAME OF OTHER BUSINESS: PIGOTT FINANCIAL CORP ; INVESTMENT RELATED: YES ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: MANAGE BUSINESS ; START DATE: 02/2019 ; POSITION/TITLE/RELATIONSHIP: CO-OWNER ; APX NUMBER OF HOURS PER WEEK: 20 ; APX NUMBER OF HOURS DURING TRADING HOURS: 20 ; BRIEF DESCRIPTION OF DUTIES: DBA FOR OPERATING EXPENSES ;

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1995-12-18
  • S63 Uniform Securities Agent State Law Examination
    1995-12-18
Other Names
  • Marty Pigott

View on SEC IAPD

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