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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
OH RA APPROVED 2024-03-21
  • OH RA
    APPROVED
    Since 2024-03-21

Branch Locations

10250 Alliance Rd Ste 125, Cincinnati, OH 45242 • 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
Claimlinx Blue Ash OH 06/2011 12/2019
Cetera Advisors Llc Denver CO 02/2014 Present
Cetera Investment Advisers Llc Schaumburg IL 03/2024 Present
  • 06/2011 → 12/2019
    Claimlinx
    Blue Ash, OH
  • 02/2014 → Present
    Cetera Advisors Llc
    Denver, CO
  • 03/2024 → Present
    Schaumburg, IL
Previous Registrations
  • 2007-01-08 → 2014-02-11
    Cincinnati, OH
    Cincinnati, OH
    Cincinnati, OH
    Cincinnati, OH
  • 2002-10-02 → 2004-10-07
    Sunset Financial Services, Inc.
    Cincinnati, OH
Other Businesses

1)DBA: FREEMAN HEYNE SCHALLER, NOT INVESTMENT RELATED, SAME AS OFFICE ADDRESS, HEALTH BENEFITS ADVISOR, START MARCH 2014, 40 PLUS HOURS PER WEEK - DURING TRADING HOURS, PRESIDENT/OWNER - INSURANCE AGENT. 2)FIXED INSURANCE WITH VARIOUS COMPANIES THROUGH FREEMAN HEYNE LLC, INVESTMENT RELATED, ADDRESS SAME AS REGISTERED LOCATION, START MARCH 2014, 30 HOURS PER WEEK - VARIES DURING TRADING HOURS, INSURANCE AGENT - SELLS LIFE, HEALTH, DISABILITY, LONG-TERM CARE AND ANNUITIES. 3) LIFELOCK, NOT INVESTMENT RELATED, SAME AS REGISTERED LOCATION, STARTED 11/2016, SALES, APX 1 HOUR PER WEEK, MAY BE DURING TRADING HOURS BRIEF DESCRIPTION OF DUTIES: OFFERING DISCOUNTED SUBSCRIPTIONS TO LIFELOCK.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-06-20
  • S66 Uniform Combined State Law Examination
    2002-06-20

View on SEC IAPD

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