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

Branch Locations

Scottsdale, AZ • 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
First Financial Equity Corporation Scottsdale AZ 03/2002 04/2022
Cetera Wealth Services, Llc El Segundo CA 04/2022 Present
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
  • 03/2002 → 04/2022
    First Financial Equity Corporation
    Scottsdale, AZ
  • 04/2022 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 06/2023 → Present
    Schaumburg, IL
Previous Registrations
  • 2005-10-06 → 2022-04-20
    Ffec Wealth Partners Llc
    Scottsdale, AZ
    Scottsdale, AZ
Other Businesses

(1) NAME OF OTHER BUSINESS: FFEC WEALTH PARTNERS; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 4/2022; 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; (2) NAME OF OTHER BUSINESS: REAL ESTATE BROKER-CHOICE IN PROCESS; INVESTMENT RELATED: NO; ADDRESS: SAME AS RESIDENTIAL LOCATION; NATURE OF BUSINESS: REAL ESTATE SALES; START DATE: 9/2022; POSITION/TITLE/RELATIONSHIP: REAL ESTATE AGENT; APX NUMBER OF HOURS PER WEEK: 4 ; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES ; BRIEF DESCRIPTION OF DUTIES: LIST, SELL AND BUY SINGLE FAMILY HOMES AND CONDOMINIUMS ;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-04-18
S65 Uniform Investment Adviser Law Examination 1992-06-15
S63 Uniform Securities Agent State Law Examination 1987-03-04
  • S66 Uniform Combined State Law Examination
    2005-04-18
  • S65 Uniform Investment Adviser Law Examination
    1992-06-15
  • S63 Uniform Securities Agent State Law Examination
    1987-03-04

View on SEC IAPD

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