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Employer firm

Cetera Investment Advisers LLC CRD 105644

$257B regulatory AUM 24,019 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers
Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

AuthorityCategoryStatusDate
PA RA APPROVED 2023-06-29
  • PA RA
    APPROVED
    Since 2023-06-29

Branch Locations

301 West Main St, New Holland, PA 17557 • United States

1800 Fruitville Pike, Lancaster, PA 17601 • United States

1001 E Oregon Road, Lititz, PA 17543 • United States

2001 Harrisburg Pike, Lancaster, PA 17601 • United States

450 Willow Valley Lakes, Willow Street, PA 17584 • United States

1001 E Oregon Road, Lititz, PA 17543 • United States

400 James Buchanan, Elizabethtown, PA 17022 • United States

625 Robert Fulton Highway, Quarryville, PA 17566 • 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
Union Community Bank Mount Joy PA 01/2001 02/2019
Cetera Advisor Networks Llc El Segundo CA 01/2013 12/2016
Infinex Investments, Inc. Meriden CT 12/2016 02/2019
Cetera Wealth Services, Llc El Segundo CA 01/2019 Present
Orrstown Financial Advisors Camp Hill PA 02/2019 Present
East Denegel Township Marietta PA 01/2003 12/2021
Susquehanna Regional Police Commission Marietta PA 01/2006 12/2021
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
  • 01/2001 → 02/2019
    Union Community Bank
    Mount Joy, PA
  • 01/2013 → 12/2016
    Cetera Advisor Networks Llc
    El Segundo, CA
  • 12/2016 → 02/2019
    Infinex Investments, Inc.
    Meriden, CT
  • 01/2019 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 02/2019 → Present
    Orrstown Financial Advisors
    Camp Hill, PA
  • 01/2003 → 12/2021
    East Denegel Township
    Marietta, PA
  • 01/2006 → 12/2021
    Susquehanna Regional Police Commission
    Marietta, PA
  • 06/2023 → Present
    Schaumburg, IL
Previous Registrations
  • 2016-12-07 → 2019-02-02
    Mount Joy, PA
    Mount Joy, PA
    Meriden, CT
  • 2006-11-29 → 2016-12-07
    Cetera Wealth Services, Llc
    Elizabethtown, PA
    Manheim, PA
    Columbia, PA
    Mount Joy, PA
    Maytown, PA
    Mount Joy, PA
    Landisville, PA
    Lancaster, PA
    Lancaster, PA
    Columbia, PA
    Mt Joy, PA
Other Businesses

(1) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 02/2019 APX NUMBER OF HOURS PER WEEK: VARIES APX NUMBER OF HOURS DURING TRADING HOURS: VARIES POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY AND LONG TERM CARE (2) NAME OF OTHER BUSINESS: ORRSTOWN FINANCIAL ADVISORS INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 02/2019 POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: PROVIDE FINANCIAL SERVICES ON BANK PREMISES;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-07-21
S63 Uniform Securities Agent State Law Examination 1987-09-24
  • S66 Uniform Combined State Law Examination
    2006-07-21
  • S63 Uniform Securities Agent State Law Examination
    1987-09-24

View on SEC IAPD

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