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Employer firm

Cetera Investment Advisers LLC CRD 105644

$257B regulatory AUM 24,019 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers
Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2020-11-12
IN RA APPROVED 2020-11-12
TX RA APPROVED_RES 2020-11-12
  • FL RA
    APPROVED
    Since 2020-11-12
  • IN RA
    APPROVED
    Since 2020-11-12
  • TX RA
    APPROVED_RES
    Since 2020-11-12

Branch Locations

5901 Tarpon Gardens Circle, Cape Coral, FL 33914 • United States

9265 Counselors Row Suite 120, Indianapolis, IN 46240 • 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
Brunette & Associates, Llc Indianapolis IN 05/2008 Present
First Allied Securities, Inc. San Diego CA 10/2012 09/2022
First Allied Advisory Services, Inc. San Diego CA 10/2012 11/2020
Cetera Investment Advisers Llc Schaumburg IL 11/2020 Present
Cetera Advisors Llc Indianapolis IN 09/2022 Present
Artistic Strategies Indianapolis IN 02/2026 Present
  • 05/2008 → Present
    Brunette & Associates, Llc
    Indianapolis, IN
  • 10/2012 → 09/2022
    First Allied Securities, Inc.
    San Diego, CA
  • 10/2012 → 11/2020
    First Allied Advisory Services, Inc.
    San Diego, CA
  • 11/2020 → Present
    Schaumburg, IL
  • 09/2022 → Present
    Cetera Advisors Llc
    Indianapolis, IN
  • 02/2026 → Present
    Artistic Strategies
    Indianapolis, IN
Previous Registrations
  • 2012-10-24 → 2020-11-12
    First Allied Advisory Services, Inc.
    San Diego, CA
    Indianapolis, IN
    Estero, FL
    Cape Coral, FL
  • 2012-08-14 → 2012-10-24
    Ogilvie Security Advisors Corporation
    Indianapolis, IN
Other Businesses

1. JOSEPH HUDSON, INC.; INV-RELATED; 6740 SPIRIT LAKE DR. #201, INDIANAPOLIS, IN 46220; FINANCIAL PLANNING; EMPLOYEE; 9/2010; 60 HRS/WEEK; ESTATE/FINANCIAL PLANNING 2. REAL ESTATE; NOT INV-RELATED; 5347 N. COLLEGE #314; REAL ESTATE PROPERTY; SOLE PROPRIETOR; 4/2011; 1 HR/MONTH; PURCHASED INVESTMENT PROPERTY 3. ONE RESOURCE GROUP INDEPENDENT CONTRACTOR 160 HOURS PER MONTH 08/17/2012 4. INSURANCE INDEPENDENT CONTRACTOR 160 HOURS PER MONTH 08/17/2012 5. NAME OF OTHER BUSINESS: ARTISTIC STRATEGIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 02/2026; 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 AND INSURANCE SERVICES;

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2011-01-06
S63 Uniform Securities Agent State Law Examination 2008-10-30
  • S65 Uniform Investment Adviser Law Examination
    2011-01-06
  • S63 Uniform Securities Agent State Law Examination
    2008-10-30

View on SEC IAPD

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