Individual Firm
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ERIC S WURTEL
CRD#: 2816411
IA
B
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 KILDEER, IL
CETERA FINANCIAL SPECIALISTS LLCCRD#: 10358 KILDEER, IL
0
Disclosures
28
Years of Experience
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State Registrations
B
California 9/13/2004
B
New Jersey 9/19/2013
B
Florida 10/23/2007
B
North Carolina 6/2/2020
B
Illinois 5/19/2004
B
Texas 6/11/2010
IA
Illinois 6/10/2004
IA
Texas 6/18/2010
B
Kentucky 1/2/2024
B
Virginia 1/2/2024
B
Massachusetts 1/2/2018
B
Wisconsin 3/2/2020
B
Nebraska 5/16/2018
SRO Registrations
B
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IA
B
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 11/27/1996 - 09/13/2004 | STAMFORD, CT | |
IA | 09/18/2000 - 07/02/2004 | KILDEER, IL |
KILDEER, IL
09/18/2000 - 07/02/2004
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.