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Cetera Investment Advisers LLC CRD 105644
$257B regulatory AUM 24,019 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2023-06-29 |
| TX | RA | APPROVED_RES | 2023-06-29 |
Branch Locations
2 disclosure categories 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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Summit Brokerage Services Inc | Fresno | CA | 03/2015 | 09/2019 |
| Summit Financial Group Inc | Fresno | CA | 03/2015 | 05/2021 |
| Cetera Wealth Services, Llc | El Segundo | CA | 09/2019 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 06/2023 | Present |
1. NAME OF OTHER BUSINESS: N/A; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: MODEL AIRPLANE; START DATE: 11/2023; POSITION/TITLE/RELATIONSHIP: HOBBIEST; APX NUMBER OF HOURS PER WEEK: 10; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: CONSTRUCT AND FLY MODEL AIRPLANES, RECEIVE FREE OR DISCOUNTED MATERIALS THROUGH COMPANY SPONSORSHIP FOR REVIEW & DEMONSTRATION;
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1991-03-11 |
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