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Cetera Investment Advisers LLC CRD 105644
$257B regulatory AUM 24,019 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2023-06-29 |
| TX | RA | APPROVED | 2023-06-29 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Cetera Wealth Services, Llc | El Segundo | CA | 01/2013 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 06/2023 | Present |
1) NAME OF OTHER BUSINESS:ADAMS FINANCIAL ; INVESTMENT RELATED: YES ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: DBA FOR FINANCIAL SERVICES ; START DATE: 03/2019 ; POSITION: FINANCIAL ADVISOR / BACKUP DESIGNATED SUPERVISOR ; APX NUMBER OF HOURS PER WEEK: 40 ; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 ; BRIEF DESCRIPTION OF DUTIES: PROSPECT, OBTAIN, SERVICE CLIENTS AS FINANCIAL ADVISOR. SUPERVISE BRANCH REGISTERED REPS AS BACKUP DESIGNATED SUPERVISOR ; 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: 03/07/2016 ; APX NUMBER OF HOURS PER WEEK: 2 ; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES ; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT ; BRIEF DESCRIPTION OF DUTIES: SELLS ANNUITIES ;
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2004-04-16 |
| S63 | Uniform Securities Agent State Law Examination | 2002-07-19 |
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