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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
TN RA APPROVED 2024-03-21
  • TN RA
    APPROVED
    Since 2024-03-21

Branch Locations

555 Sand Valley Rd, Jonesborough, TN 37659 • 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 No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Cetera Advisors Llc Denver CO 01/2013 Present
Cetera Investment Advisers Llc Schaumburg IL 03/2024 Present
Previous Registrations
Other Businesses

1) DBA: ERGAWEALTH ADVISORS, INVESTMENT RELATED, ADDRESS IS THE REGISTER LOCATION, FINANCIAL PLANNING, INVESTMENTS, START FEBRUARY 2014, 40 PLUS HOURS PER WEEK - DURING TRADING HOURS, WEALTH ADVISOR. 2) NAME OF OTHER BUSINESS: ALANA BASS CPA; INVESTMENT RELATED: NO ; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: ACCOUNTING; START DATE: 08/2025; POSITION/TITLE/RELATIONSHIP: BOOKKEEPER/TAX PREPARER; APX NUMBER OF HOURS PER WEEK: 20; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: GENERAL BOOKKEEPING AND TAX PREP FOR INDIVIDUALS AND BUSINESSES;

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-11-20
S63 Uniform Securities Agent State Law Examination 1997-10-27
  • S65 Uniform Investment Adviser Law Examination
    1997-11-20
  • S63 Uniform Securities Agent State Law Examination
    1997-10-27
Other Names
  • David Don Semersky

View on SEC IAPD

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