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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
AZ RA APPROVED 2024-08-07
TX RA APPROVED_RES 2024-08-05
  • AZ RA
    APPROVED
    Since 2024-08-07
  • TX RA
    APPROVED_RES
    Since 2024-08-05

Branch Locations

Parks, AZ • United States

7025 N Scottsdale Rd, Ste 115 & 110, Scottsdale, AZ 85253 • 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
Morgan Stanley Ft. Lauderdale FL 10/2010 08/2024
Morgan Stanley Private Bank, N.A. New York NY 01/2015 08/2024
Cetera Advisors Llc St Cloud MN 08/2024 Present
Cetera Investment Advisers Llc Schaumburg IL 08/2024 Present
Morgan Stanley Private Bank, N.A New York NY 01/2015 Present
  • 10/2010 → 08/2024
    Ft. Lauderdale, FL
  • 01/2015 → 08/2024
    Morgan Stanley Private Bank, N.A.
    New York, NY
  • 08/2024 → Present
    Cetera Advisors Llc
    St Cloud, MN
  • 08/2024 → Present
    Schaumburg, IL
  • 01/2015 → Present
    Morgan Stanley Private Bank, N.A
    New York, NY
Previous Registrations
  • 2021-04-07 → 2024-08-13
    Ft. Lauderdale, FL
    Fort Lauderdale, FL
    Flagstaff, AZ
    Flagstaff, AZ
    Parks, AZ
Other Businesses

1. NAME OF OTHER BUSINESS: WILDE WEALTH MANAGEMENT GROUP INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 08/2024 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 35 POSITION/TITLE/RELATIONSHIP: INVESTMENT ADVISOR BRIEF DESCRIPTION OF DUTIES: PROVIDING FINANCIAL SERVICES TO CLIENTS 2. NAME OF OTHER BUSINESS: THREE PEAKS AZ INVESTMENT RELATED: NO ADDRESS: SAME AS RESDIDENTIAL ADDRESS NATURE OF BUSINESS: CARPENTRY BUSINESS START DATE: 06/2023 APX NUMBER OF HOURS PER WEEK: 4 APX NUMBER OF HOURS DURING TRADING HOURS: 0 POSITION/TITLE/RELATIONSHIP: OWNER BRIEF DESCRIPTION OF DUTIES: DOING CARPENTRY WORK

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-03-09
  • S66 Uniform Combined State Law Examination
    2021-03-09
Other Names
  • Andrew Rogers

View on SEC IAPD

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