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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 2023-08-10
  • MN RA
    APPROVED
    Since 2023-08-10

Branch Locations

124 E Walnut St 250, Mankato, MN 56001 • United States

St Peter, MN • 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
Minnesota Life St. Paul MN 02/2001 08/2023
Securian Financial Services, Inc. St. Paul MN 02/2001 08/2023
Minnesota Financial Services Mankato MN 02/2001 08/2023
Minnesota Financial Services Mankato MN 04/2001 08/2023
Cetera Wealth Services, Llc Mankato MN 08/2023 Present
Cetera Investment Advisers Llc Schaumburg IL 08/2023 Present
  • 02/2001 → 08/2023
    Minnesota Life
    St. Paul, MN
  • 02/2001 → 08/2023
    Securian Financial Services, Inc.
    St. Paul, MN
  • 02/2001 → 08/2023
    Minnesota Financial Services
    Mankato, MN
  • 04/2001 → 08/2023
    Minnesota Financial Services
    Mankato, MN
  • 08/2023 → Present
    Cetera Wealth Services, Llc
    Mankato, MN
  • 08/2023 → Present
    Schaumburg, IL
Previous Registrations
  • 2020-11-06 → 2023-08-10
    Securian Financial Services, Inc.
    Mankato, MN
    Mankato, MN
    St Peter, MN
    St. Paul, MN
Other Businesses

1) SAMA FIXED INSURANCE POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 09/25/2019 ADDRESS: , Hiawatha IA , United States DESCRIPTION: Agent/Broker 2) FIREARMS SAFETY INSTRUCTOR POSITION: Volunteer NATURE: Volunteer/Community Outreach INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 11/01/2019 ADDRESS: na, na MN 00000, United States DESCRIPTION: We host a DNR Hunter Safety Field Day twice per year on Sunday mornings! 3) SHORELAND BOARD POSITION: Director NATURE: Board Member INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 01/19/2021 ADDRESS: 43781 Golf Course Rd, Saint Peter MN 56082, United States DESCRIPTION: I am a member of our local golf course and was asked to be on the board. It is for a 3 year term and currently I will be running unopposed for one of three current board positions. 4) ST PETER AMBASSADORS POSITION: Member NATURE: Volunteer/Community Outreach INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 05/01/2021 ADDRESS: PO Box 301, Saint Peter MN 56082, United States DESCRIPTION: This is an group of 30 people that promote activities and businesses in the St Peter community. 5) NAME OF OTHER BUSINESS: GUIDE WEALTH PARTNERS; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 08/2023; 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 2020-11-04
S63 Uniform Securities Agent State Law Examination 2001-04-06
  • S65 Uniform Investment Adviser Law Examination
    2020-11-04
  • S63 Uniform Securities Agent State Law Examination
    2001-04-06

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