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Employer firm

Cetera Investment Advisers LLC CRD 105644

$257B regulatory AUM 24,019 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers
Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2023-04-26
  • FL RA
    APPROVED
    Since 2023-04-26

Branch Locations

1900 Glades Rd Ste 354, Boca Raton, FL 33431 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien Yes
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Feller Investment Services Boca Raton FL 05/2015 Present
Voya Financial Advisors, Inc. Boca Raton FL 05/2015 06/2021
Cetera Wealth Services, Llc El Segundo CA 06/2021 Present
Cetera Investment Advisers Llc Schaumburg IL 03/2023 Present
Previous Registrations
Other Businesses

NAME OF ENTITY:Feller Financial Services; Yes; 1900 GLADES RD STE 354; BOCA RATON; FL; 33431; Financial Services/DBA; Representative Trainee; 9/1/2015; 40; 10; Assist rep with day to day operations while learning the business.|NAME OF ENTITY: Independent Insurance Agent; Yes; 1900 Glades Rd Ste 354; Boca Raton; FL; 33431; Fixed Insurance Sales; Independent Insurance Agent; 10/6/2020; 160; 160; sales of fixed insurance products|

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-01-11
  • S66 Uniform Combined State Law Examination
    2017-01-11
Other Names
  • Glenn Arthur Pike

View on SEC IAPD

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