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Carol Ann Steele

Cetera Investment Advisers LLC

Orland Park, IL

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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
IL RA APPROVED 2018-01-08
  • IL RA
    APPROVED
    Since 2018-01-08

Branch Locations

9533 West 143Rd St, Orland Park, IL 60462 • 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
Marquette National Bank Orland Park IL 03/1999 Present
Invest Financial Corporation Orland Park IL 03/2003 01/2018
Cetera Investment Services Llc St.CLoud MN 01/2018 Present
Cetera Investment Advisers Llc Orland Park IL 01/2018 Present
  • 03/1999 → Present
    Marquette National Bank
    Orland Park, IL
  • 03/2003 → 01/2018
    Invest Financial Corporation
    Orland Park, IL
  • 01/2018 → Present
    Cetera Investment Services Llc
    St.CLoud, MN
  • 01/2018 → Present
    Cetera Investment Advisers Llc
    Orland Park, IL
Previous Registrations
  • 2006-11-20 → 2018-01-08
    Invest Financial Corporation
    Chicago, IL
    Chicago, IL
    Chicago, IL
    Chicago, IL
    Bridgeview, IL
    Evergreen Park, IL
    Summit Argo, IL
    Chicago, IL
    Oak Lawn, IL
    Orland Park, IL
    Orland Park, IL
    New Lenox, IL
    Evergreen Park, IL
    Orland Park, IL
    Orland Park, IL
    Orland Park, IL
    Chicago, IL
    Aurora, IL
    Romeoville, IL
    Hickory Hills, IL
Other Businesses

FIRST VP AT MARQUETTE BANK; OVERSEE RETAIL BANKING AND WEALTH MANAGEMENT PROGRAM

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-11-17
S63 Uniform Securities Agent State Law Examination 1991-11-14
  • S65 Uniform Investment Adviser Law Examination
    2006-11-17
  • S63 Uniform Securities Agent State Law Examination
    1991-11-14
Other Names
  • Carol Smietana
  • Carol A Steele

View on SEC IAPD

Other Firms

MORGAN STANLEY
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W&S BROKERAGE SERVICES, INC.
WAVE & BREAKOUT L.L.C.
HIGHPOINT PLANNING PARTNERS
WELLS FARGO CLEARING SERVICES, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
AMERIPRISE FINANCIAL SERVICES, LLC

Other Investors

ANDREA PAGLIARO
Randall Andrew Scianna
KRISTEN ANNE ROSE
CHRISTINA A Valtierra
Pamela Jean Tattas
MARK ANTHONY GIOVANAZZI
DEBRA J BAKER
CRAIG PATRICK CUNNINGHAM

Other Offices

MORGAN STANLEY · Orland Park, IL
OSAIC WEALTH, INC. · Orland Park, IL
CETERA INVESTMENT ADVISERS LLC · ORLAND PARK, IL
W&S BROKERAGE SERVICES, INC. · ORLAND PARK, IL
WAVE & BREAKOUT L.L.C. · ORLAND PARK, IL
HIGHPOINT PLANNING PARTNERS · ORLAND PARK, IL
WELLS FARGO CLEARING SERVICES, LLC · ORLAND PARK, IL
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · ORLAND PARK, IL

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