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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
MO RA APPROVED 2023-06-29
  • MO RA
    APPROVED
    Since 2023-06-29

Branch Locations

St. Louis, MO • United States

Disclosures

1 disclosure category 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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Voya Financial Advisors St. Louis MO 09/2014 06/2021
Cetera Wealth Services, Llc El Segundo CA 06/2021 Present
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
  • 09/2014 → 06/2021
    Voya Financial Advisors
    St. Louis, MO
  • 06/2021 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 06/2023 → Present
    Schaumburg, IL
Previous Registrations
  • 2005-02-03 → 2021-06-09
    St Louis, MO
    St. Louis, MO
    St. Louis, MO
    Marinette, WI
  • 2004-06-02 → 2004-10-20
    St. Louis, MO
  • 2002-07-03 → 2004-06-08
    Ws Griffith Securities, Inc.
    St. Louis , MO
Other Businesses

1) NAME OF ENTITY: INDEPENDENT INSURANCE AGENT; Yes; 5435 DANTONAIRE PLACE; ST LOUIS; MO; 63128; FIXED INSURANCE SALES; INDEPENDENT INSURANCE AGENT; 6/12/2009; 8; 0; SALES OF FIXED INSURANCE PRODUCTS| 2) NAME OF ENTITY: ST LOUIS COUNTY BOARD OF ELECTION; No; 12 SUNNEN DR; ST LOUIS; MO; 63143; ROVING DEPUTY MONITOR; ROVING DEPUTY; 11/4/2014; 0; 6; DRIVE FROM PULLING PLACE TO POLLING PLACE TO REPORT ANY PROBLEMS TO BOARD OF ELECTION.| 3) NAME OF ENTITY: Matthew J Chellis; No; 5435 DANTONAIRE PL; ST LOUIS; MO; 63128; Law Practice; Owner/Attorney; 1/1/1990; 20; 20; Provide advice and representation.| 4) NAME OF OTHER BUSINESS: ST.LOUIS COUNTY PORT AUTHORITY, INVESTMENT RELATED: NO, ADDRESS: 120 SOUTH CENTRAL AVE., SUITE 200, ST LOUIS, MO 63015 NATURE OF BUSINESS: GOVERNMENT, START DATE: 11/2025, POSITION/TITLE/RELATIONSHIP: ST. LOUIS COUNTY PORT AUTHORITY, APX NUMBER OF HOURS PER WEEK: 2, NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: FOUR BROAD PURPOSES RELATED TO ECONOMIC AND COMMUNITY DEVELOPMENT;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-06-19
S63 Uniform Securities Agent State Law Examination 2001-05-02
  • S66 Uniform Combined State Law Examination
    2002-06-19
  • S63 Uniform Securities Agent State Law Examination
    2001-05-02

View on SEC IAPD

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