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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
AR RA APPROVED 2023-09-08
TX RA APPROVED 2023-09-08
  • AR RA
    APPROVED
    Since 2023-09-08
  • TX RA
    APPROVED
    Since 2023-09-08

Branch Locations

620 E. Main, Russellville, AR 72801 • 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 Investment Advisers Llc San Diego CA 02/2001 09/2022
Cetera Advisors Llc El Segundo CA 09/2022 Present
Cetera Investment Advisers Llc Schaumburg IL 05/2023 Present
Advanced Wealth Financial, Inc. Russellville AR 02/2024 Present
Other Businesses

1) NOTARY; NOTARY PUBLIC; ATTORYNEY/PARALEGAL/NOTARY SERVICES; START DATE: 03/01/2021; 4 HOURS PER MONTH. 2) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 02/2024; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 2; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SALES OF FIXED INSURANCE PRODUCTS 3) NAME OF OTHER BUSINESS: ADVANCED WEALTH FINANCIAL, INC.; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 02/2024; POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2023-05-10
S63 Uniform Securities Agent State Law Examination 1994-04-05
  • S65 Uniform Investment Adviser Law Examination
    2023-05-10
  • S63 Uniform Securities Agent State Law Examination
    1994-04-05
Other Names
  • Vikki A Toland
  • Vikki A Haak

View on SEC IAPD

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