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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
MO RA APPROVED 2023-06-29
  • MO RA
    APPROVED
    Since 2023-06-29

Branch Locations

St Genevieve, MO • United States

11600 Manchester Rd Ste 100, St Louis, MO 63131 • 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 09/2013 Present
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
Previous Registrations
  • 2012-01-26 → 2013-09-03
    Walnut Street Securities, Inc.
    St Geneviere, MO
    St Genevieve, MO
Other Businesses

1. INDEPENDENT INSURANCE AGENT LIFE/ACCIDENT/HEALTH, BEGAN 04/1996, 0HRS ACTIVITY 2. NAME OF OTHER BUSINESS: MEMORIAL UNITED METHODIST CHURCH INVESTMENT RELATED: NO; ADDRESS: 425 NORTH ST, FARMINGTON, MO 63640; NATURE OF BUSINESS: BOARD; START DATE: 11/2025; POSITION/TITLE/RELATIONSHIP: CHAIRMAN, COMMITTEE ON FINANCE; APX NUMBER OF HOURS PER WEEK: 0; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: PREPARE ANNUAL BUDGET AND MONITOR MONTHLY MONTHLY STATEMENTS, REPORT TO BOARD OF TRUSTEES;

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2011-12-29
S63 Uniform Securities Agent State Law Examination 1987-12-30
  • S65 Uniform Investment Adviser Law Examination
    2011-12-29
  • S63 Uniform Securities Agent State Law Examination
    1987-12-30
Other Names
  • Donald Tinnin

View on SEC IAPD

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