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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 2023-05-02
  • NJ RA
    APPROVED
    Since 2023-05-02

Branch Locations

277 Fairfield Road Suite 100, Fairfield, NJ 07004 • 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
Beechwood Financial Services Limited Liability Company Verona NJ 05/2015 12/2022
Cetera Financial Specialists Llc Schaumburg IL 01/2023 Present
Cetera Investment Advisers Llc Schaumburg IL 05/2023 Present
  • 05/2015 → 12/2022
    Beechwood Financial Services Limited Liability Company
    Verona, NJ
  • 01/2023 → Present
    Cetera Financial Specialists Llc
    Schaumburg, IL
  • 05/2023 → Present
    Schaumburg, IL
Previous Registrations
  • 2015-05-22 → 2022-12-31
    Beechwood Financial Services, Llc
    Verona, NJ
  • 2013-01-31 → 2014-05-09
    Tuttle Wealth Management, Llc
    Stamford, CT
  • 2005-07-26 → 2012-04-20
    Beechwood Financial Services, Llc
    Verona, NJ
    Fairfield, NJ
Other Businesses

1) STEPHEN P GUNBY & ASSOC, NOT INVESTMENT RELATED, ADDRESS SAME AS REGISTERED BRANCH, CONTRACTOR, TAX PREPARATION, DATA ENTRY, 12H/WEEK, SINCE 02/2020. 2) NAME OF OTHER BUSINESS: VERONA CHAMBER OF COMMERCE; INVESTMENT RELATED: NO; ADDRESS: PO BOX 31 VERONA, NJ 07044; NATURE OF BUSINESS: NON PROFIT; START DATE: 01/2024 ; POSITION/TITLE/RELATIONSHIP: VICE PRESIDENT; APX NUMBER OF HOURS PER WEEK: 0.5; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: RECRUIT AND MAINTAIN MEMBERSHIP AND STAGE EVENTS;

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2023-04-28
S65 Uniform Investment Adviser Law Examination 2005-07-22
  • S63 Uniform Securities Agent State Law Examination
    2023-04-28
  • S65 Uniform Investment Adviser Law Examination
    2005-07-22
Designations
Other Names
  • Rich Blaney

View on SEC IAPD

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