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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 |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2023-01-12 |
| SD | RA | APPROVED | 2016-01-08 |
| IA | RA | APPROVED | 2016-01-07 |
Branch Locations
325 Dakota Dunes Blvd, Dakota Dunes, SD 57049 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Security National Bank | Dakota Dunes | SD | 01/2003 | Present |
| Cetera Investment Services Llc | St. Cloud | MN | 08/2005 | Present |
| Cetera Investment Advisers Llc | Dakota Dunes | SD | 01/2016 | Present |
1.) ABILITY TO REFER BUSINESS TO THE TRUST/WEALTH MANAGEMENT AREA OF THE BANK. TRUST/WEALTH MANAGEMENT AREA COMPENSATES FOR SUCH REFERRALS.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2015-12-22 |
| S65 | Uniform Investment Adviser Law Examination | 2001-05-02 |
| S63 | Uniform Securities Agent State Law Examination | 2000-12-21 |
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