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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
CO RA APPROVED 2023-06-29
  • CO RA
    APPROVED
    Since 2023-06-29

Branch Locations

8471 Turnpike Dr Ste 115, Westminster, CO 80031 • United States

Denver, CO • United States

Englewood, CO • 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 10/2013 Present
Sophs, Llc Engelwood CO 01/2021 Present
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
Fs Advisors Wealth Management, Llc Westminster CO 01/2025 Present
  • 10/2013 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 01/2021 → Present
    Sophs, Llc
    Engelwood, CO
  • 06/2023 → Present
    Schaumburg, IL
  • 01/2025 → Present
    Fs Advisors Wealth Management, Llc
    Westminster, CO
Other Businesses

1. NAME OF OTHER BUSINESS: FS ADVISORS WEALTH MANAGEMENT; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 09/2022; POSITION/TITLE/RELATIONSHIP: FINANIAL PROFESSIONAL; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 2. NAME OF OTHER BUSINESS: DAHNA C. CLARKE; INVESTMENT RELATED: NO; ADDRESS: SAME AS RESIDENTIAL; NATURE OF BUSINESS: RENTAL PROPERTY; START DATE: 08/08/2016; POSITION/TITLE/RELATIONSHIP: OWNER/LANDLORD; APX NUMBER OF HOURS PER WEEK: 1 HOUR; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES; BRIEF DESCRIPTION OF DUTIES: RENTAL PROPERTY - SINGLE FAMILY DWELLING. 3. NAME OF OTHER BUSINESS: SOPHS, LLC INVESTMENT RELATED: YES, ADDRESS: SAME AS RESIDENTIAL LOCATION, NATURE OF BUSINESS: EXPENSE MANAGEMENT, START DATE: 02/2021, POSITION/TITLE/RELATIONSHIP: OWNER, APX NUMBER OF HOURS PER WEEK: 32-42, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: PAYROLL/TAX PURPOSES ONLY; 4. NAME OF OTHER BUSINESS: FS ADVISORS WEALTH MANAGEMENT, LLC , INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 01/2025 , POSITION/TITLE/RELATIONSHIP: PART OWNER, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2021-02-23
S63 Uniform Securities Agent State Law Examination 1999-02-22
  • S65 Uniform Investment Adviser Law Examination
    2021-02-23
  • S63 Uniform Securities Agent State Law Examination
    1999-02-22
Other Names
  • Dahna Elizabeth Cooper
  • Dahna Cooper

View on SEC IAPD

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