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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
ME RA APPROVED 2023-08-10
  • ME RA
    APPROVED
    Since 2023-08-10

Branch Locations

53 Main St, Mars Hill, ME 04758 • 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
Securian Financial Services, Inc St Paul MN 04/2002 08/2023
Minnesota Life Ins Co St Paul MN 04/2002 08/2023
Pioneer Financial Group Mars Hill ME 09/2016 Present
Cetera Wealth Services, Llc Mars Hill ME 08/2023 Present
Cetera Investment Advisers Llc Schaumburg IL 08/2023 Present
  • 04/2002 → 08/2023
    Securian Financial Services, Inc
    St Paul, MN
  • 04/2002 → 08/2023
    Minnesota Life Ins Co
    St Paul, MN
  • 09/2016 → Present
    Pioneer Financial Group
    Mars Hill, ME
  • 08/2023 → Present
    Cetera Wealth Services, Llc
    Mars Hill, ME
  • 08/2023 → Present
    Schaumburg, IL
Previous Registrations
  • 2002-10-21 → 2023-08-10
    Securian Financial Services, Inc.
    Mars Hill, ME
    Brewer, ME
    Brewer, ME
    Warwick, RI
    St. Paul, MN
Other Businesses

1) CENTRAL AROOSTOOK HISTORICAL SOCIETY POSITION: Trustee NATURE: Board Member INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 11/01/2011 ADDRESS: , Mars Hill ME , United States DESCRIPTION: Trustee 2) EASTON JUNIOR-SENIOR HIGH SCHOOL POSITION: Employee NATURE: Sport Coach/Referee INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 3 START DATE: 08/01/2000 ADDRESS: , Easton ME , United States DESCRIPTION: Employee 3) PIONEER FIXED INSURANCE POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 09/01/2016 ADDRESS:SAME AS REGISTERED LOCATION, DESCRIPTION: Agent/Broker 4) SHAW FINANCIAL SERVICES POSITION: Agent/Broker NATURE: DBA INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 05/01/2002 ADDRESS:SAME AS REGISTERED LOCATION, DESCRIPTION: Agent/Broker 5) WALTER T A HANSEN MEMORIAL LIBRARY POSITION: Member NATURE: Volunteer/Community Outreach INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2008 ADDRESS: , Mars Hill ME , United States DESCRIPTION: Member 6) NAME OF OTHER BUSINESS: RYAN AND SADIE SHAW; INVESTMENT RELATED: NO; ADDRESS: 69 MAIN STREET UNITS 3 & 4 MARS HILL, ME 04758; NATURE OF BUSINESS: REAL ESTATE; START DATE: 07/2024; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: SELECT;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-09-26
  • S66 Uniform Combined State Law Examination
    2002-09-26

View on SEC IAPD

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