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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
TX RA APPROVED_RES 2023-01-12
MN RA APPROVED 2018-11-01
  • TX RA
    APPROVED_RES
    Since 2023-01-12
  • MN RA
    APPROVED
    Since 2018-11-01

Branch Locations

400 1St St S Ste 300, St Cloud, MN 56301 • 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 Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Pruco Securities Llc Iselin NJ 08/2016 09/2017
Unemployed Mantua NJ 10/2017 01/2018
Cetera Investment Services Llc St Cloud MN 01/2018 Present
Cetera Investment Advisers Llc Schaumburg IL 01/2018 Present
  • 08/2016 → 09/2017
    Pruco Securities Llc
    Iselin, NJ
  • 10/2017 → 01/2018
    Unemployed
    Mantua, NJ
  • 01/2018 → Present
    Cetera Investment Services Llc
    St Cloud, MN
  • 01/2018 → Present
    Schaumburg, IL
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-10-31
S63 Uniform Securities Agent State Law Examination 1997-08-04
  • S66 Uniform Combined State Law Examination
    2018-10-31
  • S63 Uniform Securities Agent State Law Examination
    1997-08-04
Other Names
  • Dan Silva

View on SEC IAPD

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