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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
IA RA APPROVED 2023-06-29
TX RA APPROVED_RES 2023-06-29
  • IA RA
    APPROVED
    Since 2023-06-29
  • TX RA
    APPROVED_RES
    Since 2023-06-29

Branch Locations

3720 Queen Court Sw Ste 5, Cedar Rapids, IA 52404 • 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
Sign Magic (Banners) Cedar Rapids IA 08/1995 12/2017
Charles Snook (Self-Employed) Cedar Rapids IA 03/1997 Present
Signator Investors, Inc. Cedar Rapids IA 05/2016 10/2018
Voya Financial Advisors, Inc. Cedar Rapids IA 10/2018 06/2021
Cetera Wealth Services, Llc El Segundo CA 06/2021 Present
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
  • 08/1995 → 12/2017
    Sign Magic (Banners)
    Cedar Rapids, IA
  • 03/1997 → Present
    Charles Snook (Self-Employed)
    Cedar Rapids, IA
  • 05/2016 → 10/2018
    Signator Investors, Inc.
    Cedar Rapids, IA
  • 10/2018 → 06/2021
    Cedar Rapids, IA
  • 06/2021 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 06/2023 → Present
    Schaumburg, IL
Previous Registrations
Other Businesses

NAME OF ENTITY:BETH MOORES FINANCIAL, LLC; Yes; 3720 QUEEN CT SW STE 10; CEDAR RAPIDS; IA; 52404; FINANCIAL SERVICES/DBA; FINANCIAL ADVISER; 10/1/2018; 160; 120; SALE AND SERVICE INSURANCE, SECURITIES AND INVESTMENT PRODUCTS.|NAME OF ENTITY:LINN COUNTY PISTOL CLUB; No; 3593 TIMBERLINE DR NE; CEDAR RAPIDS; IA; 52402; BULLSEYE PISTOL MATCHES; TREASURER; 1/1/2014; 1; 0; MAINTAIN BOOKS AND RECORDS,DEPOSITS, PAY BILLS, PREPARE STATEMENTS.|NAME OF ENTITY:Snook Asset Management, Inc. DBA Absolute Alpha Advisors; Yes; 3720 Queen Ct. SW, Suite 10; Cedar Rapids; IA; 52404; DBA for Investment Advisory; Chief Investment Officer; 2/1/2019; 160; 120; Design and maintain client portfolios|NAME OF ENTITY: INDEPENDENT INSURANCE AGENT; Yes; 3720 QUEEN CT SW STE 10; CEDAR RAPIDS; IA; 52404; FIXED INSURANCE; INDEPENDENT INSURANCE AGENT; 10/1/2018; 160; 160; SALE OF FIXED INSURANCE PRODUCTS.|

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2024-05-20
S63 Uniform Securities Agent State Law Examination 1997-04-19
  • S65 Uniform Investment Adviser Law Examination
    2024-05-20
  • S63 Uniform Securities Agent State Law Examination
    1997-04-19
Designations

View on SEC IAPD

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