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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
MI RA APPROVED 2023-06-29
  • MI RA
    APPROVED
    Since 2023-06-29

Branch Locations

101 S Front St, Ste 207, Marquette, MI 49855 • 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
Northern Financial Marquette MI 01/2009 Present
Voya Financial Advisors Marquette MI 09/2014 06/2021
Cetera Wealth Services, Llc El Segundo CA 06/2021 Present
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
  • 01/2009 → Present
    Northern Financial
    Marquette, MI
  • 09/2014 → 06/2021
    Voya Financial Advisors
    Marquette, MI
  • 06/2021 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 06/2023 → Present
    Schaumburg, IL
Previous Registrations
Other Businesses

1)NAME OF ENTITY:TODD SCOTT-RENTAL PROPERTY; No; 325 EAST ARCH & 518 High Street; MARQUETTE; MI; 49855; RENTAL PROPERTY- Own 2 properties now under lease.; owner/LANDLORD; 1/1/2001; 8; 8; rent out property, contract for the lease, and collect rents, fix and repair buildings when needed.| 2)NAME OF ENTITY:Northern Financial; Yes; 101 S FRONT ST STE 209; MARQUETTE; MI; 49855; DBA for insurance and investment business; agent; 1/1/2009; 160; 160; sales and service of fixed insurance products| 3)NAME OF ENTITY: INDEPENDENT INSURANCE AGENT; Yes; 101 S FRONT ST STE 209; MARQUETTE; MI; 49855; Fixed Insurance Sales; Independent Insurance Agent; 2/10/2009; 160; 160; Sales of Fixed Insurance Products| 4) NAME OF OTHER BUSINESS: MARQUETTE LITTLE LEAGUE; INVESTMENT RELATED: NO; ADDRESS: P.O. BOX 693, MARQUETTE, MI 49855; NATURE OF BUSINESS: BOARD; START DATE: 1/2025; POSITION/TITLE/RELATIONSHIP: ELECTED BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: PLAN SEASON, DISCUSS GAME RULES, HELP WITH PLAYER DRAFT; 5) NAME OF OTHER BUSINESS: NORTHERN FINANCIAL ASSOCIATES, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 12/2024 , POSITION/TITLE/RELATIONSHIP: OWNER, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2015-04-02
S63 Uniform Securities Agent State Law Examination 1999-12-06
  • S65 Uniform Investment Adviser Law Examination
    2015-04-02
  • S63 Uniform Securities Agent State Law Examination
    1999-12-06

View on SEC IAPD

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