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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 2024-03-21
TX RA APPROVED_RES 2024-03-21
  • MO RA
    APPROVED
    Since 2024-03-21
  • TX RA
    APPROVED_RES
    Since 2024-03-21

Branch Locations

206 S Holden, Warrensburg, MO 64093 • 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
Cetera Advisors Llc Denver CO 01/2013 Present
Murdock Banner Financial Group Llc Denver CO 06/2017 Present
Cetera Investment Advisers Llc Schaumburg IL 03/2024 Present
  • 01/2013 → Present
    Cetera Advisors Llc
    Denver, CO
  • 06/2017 → Present
    Murdock Banner Financial Group Llc
    Denver, CO
  • 03/2024 → Present
    Schaumburg, IL
Previous Registrations
  • 2006-03-02 → 2010-12-23
    Camdenton, MO
    Lake Ozark, MO
    Columbia, MO
    Laurie, MO
    Columbia, MO
    Jefferson City, MO
    Osage Beach, MO
    Columbia, MO
    Eldon, MO
    Centralia, MO
    Versailles, MO
    Mexico, MO
    Higginsville, MO
    Richmond, MO
    Sedalia, MN
    Clinton, MO
    Sedalia, MO
    Sedalia, MO
    Sedalia, MO
    Warrensburg, MO
    Warrensburg, MO
Other Businesses

1.NAME OF OTHER BUSINESS: MURDOCK BANNER FINANCIAL GROUP LLC INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 6/2017 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 POSITION/TITLE/RELATIONSHIP: CO-OWNER BRIEF DESCRIPTION OF DUTIES: FINANCIAL PLANNER 2. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 12/2017; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 2; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, ANNUITIES AND LONG TERM CARE; 3. NAME OF OTHER BUSINESS: UNIVERSITY OF CENTRAL MISSOURI ALUMNI FOUNDATION; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: BOARD OF DIRECTORS; START DATE: 09/2022; POSITION: BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: LESS THAN 1; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1; BRIEF DESCRIPTION OF DUTIES: ATTEND 3 BOARD OF DIRECTORS MEETINGS PER YEAR, PARTICIPATE IN INVESTMENT COMMITTEE;

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-03-01
S63 Uniform Securities Agent State Law Examination 2001-10-01
  • S65 Uniform Investment Adviser Law Examination
    2006-03-01
  • S63 Uniform Securities Agent State Law Examination
    2001-10-01
Designations

View on SEC IAPD

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