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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 2026-03-02
  • CA RA
    APPROVED
    Since 2026-03-02

Branch Locations

26650 The Old Road Suite 213, Valencia, CA 91381 • 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
Unionbanc Investment Services Encino CA 05/2008 09/2018
Fsc Securities Corp Atlanta GA 09/2018 11/2023
Park Wealth West Valencia CA 05/2021 05/2023
Park Wealth Advisors Valencia CA 09/2018 Present
Osaic Wealth, Inc. Valencia CA 11/2023 03/2026
Cetera Wealth Services, Llc El Segundo CA 03/2026 Present
Cetera Investment Advisers Llc Schaumburg IL 03/2026 Present
  • 05/2008 → 09/2018
    Unionbanc Investment Services
    Encino, CA
  • 09/2018 → 11/2023
    Fsc Securities Corp
    Atlanta, GA
  • 05/2021 → 05/2023
    Park Wealth West
    Valencia, CA
  • 09/2018 → Present
    Park Wealth Advisors
    Valencia, CA
  • 11/2023 → 03/2026
    Valencia, CA
  • 03/2026 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 03/2026 → Present
    Schaumburg, IL
Previous Registrations
  • 2023-11-03 → 2026-03-05
    Valencia, CA
  • 2018-09-14 → 2023-11-03
    Fsc Securities Corporation
    Valencia, CA
  • 2008-10-13 → 2018-09-19
    Studio City, CA
    Chatsworth, CA
    Northridge, CA
    Encino, CA
    Studio City, CA
    Palmdale, CA
    Lancaster, CA
    Santa Clarita, CA
    Santa Clarita, CA
    Steven Ranch, CA
    Burbank, CA
    Santa Clarita, CA
    Santa Clarita, CA
    Palmdale, CA
    Steven Ranch, CA
    Lancaster, CA
    Valencia, CA
    Agoura Hills, CA
    Santa Barbara, CA
    Santa Barbara, CA
    Montecito, CA
    Los Angeles, CA
    Pasadena, CA
    Los Angeles, CA
    West Hollywood, CA
    Burbank, CA
    Sherman Oaks, CA
Other Businesses

1. NAME OF OTHER BUSINESS: PARK WEALTH MANAGEMENT INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 09/2018 POSITION/TITLE/RELATIONSHIP: CHIEF INVESTMENT OFFICER APX NUMBER OF HOURS PER WEEK: 30 APX NUMBER OF HOURS DURING TRADING HOURS: 30 BRIEF DESCRIPTION OF DUTIES: PROVIDE FINANCIAL SERVICES

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2019-05-20
S65 Uniform Investment Adviser Law Examination 2008-10-10
  • S63 Uniform Securities Agent State Law Examination
    2019-05-20
  • S65 Uniform Investment Adviser Law Examination
    2008-10-10
Other Names
  • Tammy Ann Kasa
  • Tammy Ann Hospoder
  • Tammy Ann Haspoder
  • Tammy Kasa
  • Tammy Ann Mollgaard

View on SEC IAPD

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