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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
MN RA APPROVED 2023-06-29
TX RA APPROVED_RES 2023-06-29
  • MN RA
    APPROVED
    Since 2023-06-29
  • TX RA
    APPROVED_RES
    Since 2023-06-29

Branch Locations

4900 Highway 169 North Ste 225, Minneapolis, MN 55428 • 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
Voya Financial Advisors Plymouth MN 09/2014 06/2021
Cetera Wealth Services, Llc Plymouth MN 06/2021 Present
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
  • 09/2014 → 06/2021
    Voya Financial Advisors
    Plymouth, MN
  • 06/2021 → Present
    Cetera Wealth Services, Llc
    Plymouth, MN
  • 06/2023 → Present
    Schaumburg, IL
Previous Registrations
Other Businesses

(1) NAME OF ENTITY:EVANGELICAL FREE CHURCH OF AMERICA; NO; 901 E 78TH ST; MINNEAPOLIS; MN; 55420; RELIGION; BOARD MEMBER; 6/1/2000; 8; 8; PROVIDE INPUT TO BOARD OF DIRECTORS, ON AUDIT AND ADVISOR REVIEW SUB-COMMITTEES, REVIEW PENSION PLAN TO ENSURE LEGAL/ACCOUNTING COMPLIANCE. (2) NAME OF ENTITY: INDEPENDENT INSURANCE AGENT; YES; SAME AS REGISTERED LOCATION; FIXED INSURANCE SALES; INDEPENDENT INSURANCE AGENT; 6/1/2007; 24; 24; SALES OF FIXED INSURANCE PRODUCTS

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1989-04-07
  • S63 Uniform Securities Agent State Law Examination
    1989-04-07
Designations
Other Names
  • Sue Erickson

View on SEC IAPD

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