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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

618 W. 5Th Street, Wilton, IA 52778 • United States

815 6Th Ave, Dewitt, IA 52742 • 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
Cetera Wealth Services, Llc El Segundo CA 01/2013 Present
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
Other Businesses

1. APPOINTED AS TREASURER FOR CLINTON COUNTY CONSERVATION FOUNDATION BEGINNING 9/07. DUTIES INCLUDE ASSISTING CLINTON COUNTY CONSERVATION BOARD IN RAISING FUNDS, MAINTAIN, RECORD, AND REPORT FINANCES ON FOUNDATION. NO FUNDS WILL BE INVESTED. 2. ALL ANNUITY AND LIFE INSURANCE BUSINESS DONE THROUGH ADVISORNET INSURANCE. SOLICITS AND SELLS FIXED INSURANCE AND ANNUITY PRODUCTS (LIFE, HEALTH, DI, ANNUITIES, LTC). 3. NAME OF OTHER BUSINESS: DEWITT BANK & TRUST CO. INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: BANK POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISER START DATE: N/A APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: SERVES AS A FINANCIAL ADVISER and Insurance Officer LOCATED IN THE BANK; 4. NAME OF OTHER BUSINESS: NOTARY PUBLIC COMMISSION; INVESTMENT RELATED: NO ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: NOTARIZING DOCUMENTS ; START DATE: 03/2021; POSITION/TITLE/RELATIONSHIP: NOTARY ; APX NUMBER OF HOURS PER WEEK: VARIES ; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES; BRIEF DESCRIPTION OF DUTIES: NOTARIZING DOCUMENTS ;

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1997-07-11
  • S63 Uniform Securities Agent State Law Examination
    1997-07-11

View on SEC IAPD

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