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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
TX RA APPROVED_RES 2022-05-16
WI RA APPROVED 2020-11-12
  • TX RA
    APPROVED_RES
    Since 2022-05-16
  • WI RA
    APPROVED
    Since 2020-11-12

Branch Locations

909 North Mayfair Road Suite #200, Wauwatosa, WI 53226 • 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 No
  • Termination Yes
Employment History
OrganizationCityStateFromTo
Prime Mortgage Milwaukee WI 07/1992 Present
Prime Financial Services Milwaukee WI 07/1989 Present
First Allied Securities, Inc. Wauwatosa WI 05/2008 09/2022
First Allied Advisory Services, Inc.. Wauwatosa WI 01/2010 11/2020
First Allied Advisory Services Schaumburg IL 11/2020 09/2022
Cetera Advisors Llc Brookfield WI 09/2022 Present
Cetera Investment Advisers Llc Schaumburg IL 11/2020 Present
  • 07/1992 → Present
    Prime Mortgage
    Milwaukee, WI
  • 07/1989 → Present
    Prime Financial Services
    Milwaukee, WI
  • 05/2008 → 09/2022
    First Allied Securities, Inc.
    Wauwatosa, WI
  • 01/2010 → 11/2020
    First Allied Advisory Services, Inc..
    Wauwatosa, WI
  • 11/2020 → 09/2022
    First Allied Advisory Services
    Schaumburg, IL
  • 09/2022 → Present
    Cetera Advisors Llc
    Brookfield, WI
  • 11/2020 → Present
    Schaumburg, IL
Previous Registrations
  • 2010-01-26 → 2020-11-12
    First Allied Advisory Services, Inc.
    Wauwatosa, WI
  • 2007-01-03 → 2009-12-17
    First Allied Advisory Services, Inc.
    Chesterfield, MO
    Wauwatosa, WI
  • 1993-07-13 → 2007-01-03
    Ffp Advisory Services Inc
    Wauwatosa, WI
Other Businesses

1.) MICHAEL WHITE; NON-CPA ACCOUNTING AND/OR TAX PREPARATION; START DATE: 4/1/2008 2.) JUST FORE KIDS FOUNDATION; DIRECTOR; NON-PROFIT ORGANIZATION; START DATE: 2/22/2010 3.) PRIME FINANCIAL SERVICES, INC.; DBA. 4.) MICHAEL WHITE; AGENT; INSURANCE; START DATE 04/01/2008 5.) GUIDANCE MORTGAGE;EMPLOYEE; MORTGAGE/BANKING;START DATE 02/01/2016; 8 HOURS PER MONTH. 6.) PRIME M&A REAL ESTATE; PARTNER; REAL ESTATE (RENTAL PROPERTY/PASSIVE INVESTMENT; START DATE 05/08/2020; 4 HOURS PER MONTH. 7.) NAME OF OTHER BUSINESS: NOTARY PUBLIC COMMISSION; INVESTMENT RELATED: NO ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: NOTARIZING DOCUMENTS ; START DATE: 01/2000; POSITION/TITLE/RELATIONSHIP: NOTARY ; APX NUMBER OF HOURS PER WEEK: 1 ; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES; BRIEF DESCRIPTION OF DUTIES: NOTARIZING DOCUMENTS ;

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1988-06-23
  • S63 Uniform Securities Agent State Law Examination
    1988-06-23
Designations

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