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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 2024-09-23
VA RA APPROVED 2023-08-10
  • TX RA
    APPROVED
    Since 2024-09-23
  • VA RA
    APPROVED
    Since 2023-08-10

Branch Locations

130 Wylderose Dr, Midlothian, VA 23113 • 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
Minnesota Mutual Life St. Paul MN 08/1987 Present
Virginia Asset Management Richmond VA 08/1987 Present
Securian Financial Services St. Paul MN 12/1988 08/2023
Select Brokers, Llc Midlothian VA 08/2006 Present
Cetera Wealth Services, Llc Midlothian VA 08/2023 Present
Cetera Investment Advisers Llc Schaumburg IL 08/2023 Present
  • 08/1987 → Present
    Minnesota Mutual Life
    St. Paul, MN
  • 08/1987 → Present
    Virginia Asset Management
    Richmond, VA
  • 12/1988 → 08/2023
    Securian Financial Services
    St. Paul, MN
  • 08/2006 → Present
    Select Brokers, Llc
    Midlothian, VA
  • 08/2023 → Present
    Cetera Wealth Services, Llc
    Midlothian, VA
  • 08/2023 → Present
    Schaumburg, IL
Previous Registrations
  • 2002-12-02 → 2023-08-10
    Securian Financial Services, Inc.
    Richmond, VA
    Midlothian, VA
    St. Paul, MN
  • 1999-05-11 → 2002-12-02
    Investment Advisory Group, Inc.
    Richmond, VA
Other Businesses

1) SELECT BROKERS LLC POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 08/01/2006 ADDRESS: , Midlothian VA , United States DESCRIPTION: Agent/Broker 2) HITTING CANCER BELOW THE BELT POSITION: Member NATURE: Board Member INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 06/01/2014 ADDRESS: 13801 Turtle Hill Drive, Midlothian VA 23112, United States DESCRIPTION: review budget 3) HERMITAGE COUNTRY CLUB POSITION: Member NATURE: Board Member INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 01/03/2022 ADDRESS: 1248 Hermitage Road, Manakin-Sabot VA 23103, United States DESCRIPTION: Hermitage Country Club is a club I've belonged to for over 20+ years. As a member of the board, I provide big picture perspective on how the club is performing. 4) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 10/1987; APX NUMBER OF HOURS PER WEEK: 20; APX NUMBER OF HOURS DURING TRADING HOURS: 20; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, ANNUITIES AND LONG-TERM CARE; 5) NAME OF OTHER BUSINESS: VIRGINIA ASSET MANAGEMENT INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 08/1987 POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: OFFER SECURITIES, INSURANCE AND ADVISORY SERVICES

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-04-27
S63 Uniform Securities Agent State Law Examination 1988-12-07
  • S65 Uniform Investment Adviser Law Examination
    1999-04-27
  • S63 Uniform Securities Agent State Law Examination
    1988-12-07
Designations
Other Names
  • Steve Fisher

View on SEC IAPD

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