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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
IN RA APPROVED 2003-10-22
  • IN RA
    APPROVED
    Since 2003-10-22

Branch Locations

116 W. 6Th Street, Auburn, IN 46706 • 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
The Seigel Group Llc,Cpa'S Auburn IN 01/1996 Present
Cetera Financial Specialists Llc Schaumburg IL 07/1997 Present
Cetera Investment Advisers Llc Schaumburg IL 10/2003 Present
  • 01/1996 → Present
    The Seigel Group Llc,Cpa'S
    Auburn, IN
  • 07/1997 → Present
    Cetera Financial Specialists Llc
    Schaumburg, IL
  • 10/2003 → Present
    Schaumburg, IL
Other Businesses

1) THE SEIGEL GROUP LLC,CPA'S, TAX & ACCTG PRAC-MEMBER/OWNER SINCE 1/1/96-PREP TAX RETS PERFORM AUDITS & REVIEW OF COMPILATION-40-50HR/WK. 2) SEIGEL PROPERTIES; NOT INVESTMENT RELATED; ADDRESS IS THE REGISTERED LOCATION; COMMERCIAL/RESIDENTIAL REAL ESTATE RENTALS; START 7/2015; 1 HOUR/WEEK AFTER SECURITIES TRADING HOURS. 3) NAME OF OTHER BUSINESS: EBENEZER SHEPHERDING MINISTRIES OF AFRICA, INC ; INVESTMENT RELATED: NO ; ADDRESS: SAME AS RESIDENTIAL LOCATION ; NATURE OF BUSINESS: FUNDRAISING ORGANIZATION ; START DATE: 06/2019 ; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER ; APX NUMBER OF HOURS PER WEEK: 1-2 ; APX NUMBER OF HOURS DURING TRADING HOURS: 1-2 ; BRIEF DESCRIPTION OF DUTIES KEEP ORGANIZATION IN COMPLIANCE WITH STATE AND FEDERAL REGULATIONS. FILE ANNUAL FILINGS. PREPARE FINANCIAL STATEMENTS FOR THE BOARD OF DIRECTORS ;

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2003-10-07
S63 Uniform Securities Agent State Law Examination 1997-10-27
  • S65 Uniform Investment Adviser Law Examination
    2003-10-07
  • S63 Uniform Securities Agent State Law Examination
    1997-10-27
Other Names
  • Ken Seigel

View on SEC IAPD

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