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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
GA RA APPROVED 2023-03-21
  • GA RA
    APPROVED
    Since 2023-03-21

Branch Locations

Fairburn, GA • United States

2301 Rosecrans Ave Ste #5100, El Segundo, CA 90245 • 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 Wealth Services, Llc El Segundo CA 11/2015 Present
Cetera Advisors Llc Denver CO 11/2015 Present
Cetera Financial Specialists Llc Schaumburg IL 11/2015 Present
Cetera Investment Services Llc Saint Cloud MN 11/2015 Present
First Allied Securities, Inc. San Diego CA 11/2015 09/2022
Investors Capital Corp. Lynnfield MA 11/2015 11/2016
Legend Equities Corporation Palm Beach Gardens FL 11/2015 12/2016
Summit Brokerage Services, Inc. Boca Raton FL 11/2015 12/2019
Girard Securities, Inc. San Diego CA 11/2015 11/2017
Vsr Financial Services, Inc. Overland Park KS 11/2015 12/2016
Cetera Investment Advisers Llc Schaumburg IL 03/2023 Present
  • 11/2015 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 11/2015 → Present
    Cetera Advisors Llc
    Denver, CO
  • 11/2015 → Present
    Cetera Financial Specialists Llc
    Schaumburg, IL
  • 11/2015 → Present
    Cetera Investment Services Llc
    Saint Cloud, MN
  • 11/2015 → 09/2022
    First Allied Securities, Inc.
    San Diego, CA
  • 11/2015 → 11/2016
    Investors Capital Corp.
    Lynnfield, MA
  • 11/2015 → 12/2016
    Legend Equities Corporation
    Palm Beach Gardens, FL
  • 11/2015 → 12/2019
    Summit Brokerage Services, Inc.
    Boca Raton, FL
  • 11/2015 → 11/2017
    Girard Securities, Inc.
    San Diego, CA
  • 11/2015 → 12/2016
    Vsr Financial Services, Inc.
    Overland Park, KS
  • 03/2023 → Present
    Schaumburg, IL
Previous Registrations
Other Businesses

1. NAME OF OTHER BUSINESS: MILAM PARK HOMEOWNERS ASSOCIATION INVESTMENT RELATED: NO ADDRESS: 325 COUNTRY CLUB DRIVE STE A STOCKBRIDGE GA NATURE OF BUSINESS: HOA BOARD START DATE: 02/2012 APX NUMBER OF HOURS PER WEEK: ONE APX NUMBER OF HOURS DURING TRADING HOURS: MINIMAL BRIEF DESCRIPTION OF DUTIES: HOA PRESIDENT 2.NAME OF OTHER BUSINESS:I AM MILITARY, INC. INVESTMENT RELATED: NO ADDRESS: 114 BONAVENTURE PLACE. LOCUST GROVE, GA 33054 NATURE OF BUSINESS: WEBSITE IS BEING DEVELOPED TO PROVIDE SOCIAL NETWORKING FOR MILITARY PERSONNEL TO CONECT AND/OR RECONNECT START DATE: 01/01/2016 POSITION/TITLE/RELATIONSHIP: SECRETARY APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: VARIES BRIEF DESCRIPTION OF DUTIES: DOCUMENTING MEETINGS REGARDING ORGANIZATIONAL STRUCTURE OF THE COMPANY.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-02-24
S63 Uniform Securities Agent State Law Examination 1999-11-12
  • S66 Uniform Combined State Law Examination
    2009-02-24
  • S63 Uniform Securities Agent State Law Examination
    1999-11-12
Other Names
  • Mira Hardemon
  • Randi Mccoy

View on SEC IAPD

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