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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
OH RA APPROVED 2023-06-29
TX RA APPROVED_RES 2023-06-29
  • OH RA
    APPROVED
    Since 2023-06-29
  • TX RA
    APPROVED_RES
    Since 2023-06-29

Branch Locations

255 N 3Rd St, Steubenville, OH 43952 • 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
Cetera Wealth Services, Llc El Segundo CA 09/2013 Present
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
Previous Registrations
  • 2009-10-07 → 2013-09-03
    Walnut Street Securities, Inc.
    Stubenville, OH
    Carnegie, PA
  • 2006-01-19 → 2007-11-21
    New England Securities
    Wintersville , OH
    Wintersville, OH
Other Businesses

1.) INDEPENDENT INSURANCE AGENT FROM BUSINESS ADDRESS (FIXED ANNUITIES, LIFE/ACCIDENT/HEALTH, LONG-TERM CARE, PROPERTY & CASUALTY) 10 SECURITIES TRADING HOURS WEEKLY 0 NON SECURITIES TRADING HOURS WEEKLY, START DATE 3/1985 2.) OWNER OF RENTAL PROPERTY RESPONSIBLE FOR PAYMENT OF MORTGAGE ON PROPERTY, UPKEEP OF PROPERTY, PAYMENT OF INSURANCE AND TAXES ON SAID PROPERTY AND COMPLIANCE WITH LOCAL LAWS REGARDING THE PROPERTY, STEUBENVILLE, OHIO , 1 SECURITIES TRADING HOURS WEEKLY, 3 NON SECURITIES TRADING HOURS WEEKLY, START DATE 1/2008 3.)NOTARY PUBLIC SAME AS REGISTERED ADDRESS, 1 SECURITIES TRADING HOURS WEEKLY, 1 NON SECURITIES TRADING HOURS WEEKLY, START DATE 8/2003 4) NAME OF OTHER BUSINESS: DBA TRI STATE FINANCIAL SERVICES, LLC INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: INSURANCE START DATE: 03/2009 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: 10 APX NUMBER OF HOURS DURING TRADING HOURS: VARIES BRIEF DESCRIPTION OF DUTIES: DBA FOR FIXED INSURANCE SALES 5) NAME OF OTHER BUSINESS: JEFFERSON SOIL AND WATER CONSERVATION DISTRICT INVESTMENT RELATED: NO ADDRESS: 500 MARKET ST #34 STEUBENVILLE OH 43952 NATURE OF BUSINESS: PUBLIC SERVICE START DATE: 1/2016 APX NUMBER OF HOURS PER WEEK: 2 APX NUMBER OF TRADING HOURS PER WEEK: 2 POSITION/TITLE/RELATIONSHIP: MEMBER OF BOARD OF SUPERVISORS BRIEF DESCRIPTION OF DUTIES: OVERSEE ACTIVITIES RELATED TO LOCAL WATER AND SOIL CONSERVATION 6) NAME OF OTHER BUSINESS: JEFFERSON COUNTY SOIL AND WATER CONSERVATION DISTRICT; INVESTMENT RELATED: NO; ADDRESS: 500 MARKET ST MEZZANINE SUITE 4, STEUBENVILLE, OH 43952; NATURE OF BUSINESS: BOARD MEMBER; START DATE: 1/2022; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER/TREASURER ; APX NUMBER OF HOURS PER WEEK: VARIES ; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES ; BRIEF DESCRIPTION OF DUTIES: MAINTENANCE OF FINANCIAL RECORDS AND EXPENSES, PAY BILLS AS AUTHORIZED BY BOARD; 7) NAME OF OTHER BUSINESS: STEUBENVILLE CULTURAL TRUST INVESTMENT RELATED: NO; ADDRESS: NO PHYSICAL LOCATION, PUBLIC LOCATIONS; NATURE OF BUSINESS: NON PROFIT; START DATE: 08/2023; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: 1-2; APX NUMBER OF HOURS DURING TRADING HOURS: 1-2; BRIEF DESCRIPTION OF DUTIES: DEVELOP ACTIVITIES TO BRING CULTURE AND ART TO AREA, ACTIVITIES FOR ALL AGES;

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1994-04-07
  • S63 Uniform Securities Agent State Law Examination
    1994-04-07

View on SEC IAPD

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