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

Branch Locations

5757 Pacific Ave Ste 248, Stockton, CA 95207 • 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
Cetera Wealth Services, Llc El Segundo CA 01/2013 Present
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
Other Businesses

1. FIXED INSURANCE AGENT: ANNUITIES; 2.NAME OF OTHER BUSINESS: R PROPERTIES INVESTMENT RELATED: NO ADDRESS: 5391 COVEY CREEK CIRCLE STOCKTON CA 95207 NATURE OF BUSINESS: REAL ESTATE RENTALS START DATE: 3/2010 APX NUMBER OF HOURS PER WEEK: 2 APX NUMBER OF HOURS DURING TRADING HOURS: 2 POSITION/TITLE/RELATIONSHIP: OWNER BRIEF DESCRIPTION OF DUTIES: GENERAL DUTIES 3. NAME OF OTHER BUSINESS: VALLEY FINANCIAL SERVICES, INVESTMENT RELATED: NO, ADDRESS: 1776 W. MARCH LANE SUITE 310 STOCKTON, CA 95207, NATURE OF BUSINESS: NOTARY, POSITION/TITLE/RELATIONSHIP: OWNER, START DATE: 09/01/2012, APX NUMBER OF HOURS PER WEEK: <1, APX NUMBER OF HOURS DURING TRADING HOURS: <1, BRIEF DESCRIPTION OF DUTIES: NOTARIZES DOCUMENTS FOR CLIENTS AND NON-CLIENTS; 4. NAME OF OTHER BUSINESS: VALLEY FINANCIAL SERVICES, INVESTMENT RELATED: NO, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: OFFICE RENTAL, START DATE: NOVEMBER 1, 2012, APX NUMBER OF HOURS PER WEEK: 0, APX NUMBER OF HOURS DURING TRADING HOURS: 0, BRIEF DESCRIPTION OF DUTIES: SUBLETS OFFICE SPACE; 5. NAME OF OTHER BUSINESS: L & J FINANCIAL INC.; INVESTMENT RELATED: NO; ADDRESS: 5757 PACIFIC AVENUE SUITE 248, STOCKTON, CA 95207; NATURE OF BUSINESS: S-CORP / TAX REPORTING ENTITY; START DATE: 09/2012; POSITION/TITLE/RELATIONSHIP: OWNER /CEO / CFO; APX NUMBER OF HOURS PER WEEK: LESS THAN 1; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1; BRIEF DESCRIPTION OF DUTIES:RUN ONE BOARD MEETING A YEAR; 6. NAME OF OTHER BUSINESS: GOSPEL CENTER RESCUE MISSION; INVESTMENT RELATED: NO; ADDRESS: 445 S SAN JOAQUIN ST, STOCKTON, CA 95207; NATURE OF BUSINESS: BOARD; START DATE: 6/2023; POSITION/TITLE/RELATIONSHIP: PRESIDENT OF BOARD; APX NUMBER OF HOURS PER WEEK: 1-2; APX NUMBER OF HOURS DURING TRADING HOURS: 1-2; BRIEF DESCRIPTION OF DUTIES: CONSULT WITH THE CEO OF THE GOSPEL CENTER, RUN BOARD MEETINGS 7. NAME OF OTHER BUSINESS: NEW HOPE FAMILY SHELTER INC.; INVESTMENT RELATED: NO; ADDRESS: 445 S. SAN JOAQUIN ST, STOCKTON, CA 95203; NATURE OF BUSINESS: BOARD; START DATE: 7/2025; POSITION/TITLE/RELATIONSHIP: ELECTED BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: ATTEND AT LEAST ONE BOARD MEETING PER YEAR TO REVIEW ACTIVITIES OF THE NON-PROFIT; 8. NAME OF OTHER BUSINESS: QLBC FOUNDATION; INVESTMENT RELATED: NO; ADDRESS: 1904 QUAIL LAKES DR, STOCKTON, CA 95207; NATURE OF BUSINESS: BOARD; START DATE: 7/2022; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: 0.5; APX NUMBER OF HOURS DURING TRADING HOURS: 0.5; BRIEF DESCRIPTION OF DUTIES: MEET ONCE A MONTH TO REVIEW FINANCIAL RECORDS;

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-12-31
S63 Uniform Securities Agent State Law Examination 1994-03-22
  • S65 Uniform Investment Adviser Law Examination
    1999-12-31
  • S63 Uniform Securities Agent State Law Examination
    1994-03-22
Designations

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