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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
MN RA APPROVED 2023-08-10
WI RA APPROVED 2023-08-10
  • MN RA
    APPROVED
    Since 2023-08-10
  • WI RA
    APPROVED
    Since 2023-08-10

Branch Locations

Amery, WI • United States

2701 University Ave Se, Minneapolis, MN 55414 • 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
Minnesota Life St Paul MN 08/1996 08/2023
Securian Financial Services, Inc. Minnapolis MN 08/1996 08/2023
Cri Securities Llc Minneapolis MN 08/1996 10/2021
North Star Consultants, Inc Minneapolis MN 08/1996 10/2023
Cetera Wealth Services, Llc Minneapolis MN 08/2023 Present
Cetera Investment Advisers Llc Schaumburg IL 08/2023 Present
The Vitality Group Minnapolis MN 12/2025 Present
  • 08/1996 → 08/2023
    Minnesota Life
    St Paul, MN
  • 08/1996 → 08/2023
    Securian Financial Services, Inc.
    Minnapolis, MN
  • 08/1996 → 10/2021
    Cri Securities Llc
    Minneapolis, MN
  • 08/1996 → 10/2023
    North Star Consultants, Inc
    Minneapolis, MN
  • 08/2023 → Present
    Cetera Wealth Services, Llc
    Minneapolis, MN
  • 08/2023 → Present
    Schaumburg, IL
  • 12/2025 → Present
    The Vitality Group
    Minnapolis, MN
Previous Registrations
  • 2011-09-08 → 2023-08-10
    Securian Financial Services, Inc.
    St Paul, MN
    St. Paul, MN
    Minneapolis, MN
    Somerset, WI
  • 2013-12-23 → 2021-10-19
    Cri Securities, Llc
    St. Paul, MN
    St Paul, MN
    Minneapolis, MN
Other Businesses

1. LAUREL COMMUNITY SCHOOL POSITION: Advisory Board NATURE: k-8 private Christian non-denominational school INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 04/01/2020 ADDRESS: 3619 Williamsburg Ct, Woodbury MN 55129, United States DESCRIPTION: I have been asked to be on an advisory board. When they have meetings to discuss the issues important to the running of the school I would be present and serve in that way. 2. SQUAW LAKE REHABILITATION AND MANAGEMENT DISTRICT POSITION: Advisory Board NATURE: Board Member INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 09/17/2020 ADDRESS: 959 218th Ave, Somerset WI 54025, United States DESCRIPTION: There is a lake district that manages the health of Squaw Lake. 3. SYMPLANY, LLC POSITION: Owner NATURE: Software Company INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 8 START DATE: 07/01/2011 ADDRESS: 1383 Palisade Path, Woodbury MN 55129, United States DESCRIPTION: Co-owner of LLC which develops and maintains software that helps financial advisors to provide clients with a recommended asset allocation; 4. NAME OF OTHER BUSINESS: AMERICAN LUNG ASSOCIATION; INVESTMENT RELATED: NO; ADDRESS: 21 WEST 38 ST, NEW YORK, NY 10018; NATURE OF BUSINESS: BOARD; START DATE: 3/2024; POSITION/TITLE/RELATIONSHIP: MEMEBER OF INVESTMENT SUBCOMMITTEE; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: OFFER GUIDANCE TO THE AMERICAN LUNG ASSOCIATION'S NATIONAL BOARD OF DIRECTORS; 5. NAME OF OTHER BUSINESS: NORTH STAR RESOURCE GROUP; INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 8/2023, POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 6. NAME OF OTHER BUSINESS: THE VITALITY GROUP; INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 12/2025, POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 20, APX NUMBER OF HOURS DURING TRADING HOURS: 20, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-12-03
S63 Uniform Securities Agent State Law Examination 1996-09-10
  • S65 Uniform Investment Adviser Law Examination
    1999-12-03
  • S63 Uniform Securities Agent State Law Examination
    1996-09-10
Designations

View on SEC IAPD

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