Gregory Arthur Pfaff

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

Authority	Category	Status	Date
IL	RA	APPROVED	1998-05-22

IL RA
APPROVED

Since 1998-05-22

Branch Locations

Naperville, IL • 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

Organization	City	State	From	To
Accounting & Tax Assoc. Ltd.	Naperville	IL	01/1989	Present
Cetera Financial Specialists Llc	Schaumburg	IL	11/1996	Present
Cetera Investment Advisers Llc	Schaumburg	IL	05/1998	Present

01/1989 → Present

Accounting & Tax Assoc. Ltd.

Naperville, IL
11/1996 → Present

Cetera Financial Specialists Llc

Schaumburg, IL
05/1998 → Present

Cetera Investment Advisers Llc

Schaumburg, IL

Other Businesses

ACCOUNTING & TAX ASSOCIATES - NOT INVESTMENT RELATED - NATURE OF BUSINESS: TAX PREP - TITLE: OWNER - STARTED 1988 - WORK 50-80 HRS/WK - THIS BUSINESS IS AN S-CORP, THERE ARE NO OTHER SHAREHOLDERS.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1998-05-30
S63	Uniform Securities Agent State Law Examination	1997-05-20

S65 Uniform Investment Adviser Law Examination

1998-05-30
S63 Uniform Securities Agent State Law Examination

1997-05-20

View on SEC IAPD