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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
MD RA APPROVED 2023-08-10
TX RA APPROVED_RES 2023-08-10
  • MD RA
    APPROVED
    Since 2023-08-10
  • TX RA
    APPROVED_RES
    Since 2023-08-10

Branch Locations

2101 Gaither Rd Ste 600, Rockville, MD 20850 • 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
Securian Financial Services St Paul MN 12/2000 08/2023
Minnesota Life St Paul MN 12/2000 08/2023
Financial Advantage Associates Rockville MD 12/2000 Present
Erie Insurance Rockville MD 11/2006 Present
Cetera Wealth Services, Llc Rockville MD 08/2023 Present
Cetera Investment Advisers Llc Schaumburg IL 08/2023 Present
  • 12/2000 → 08/2023
    Securian Financial Services
    St Paul, MN
  • 12/2000 → 08/2023
    Minnesota Life
    St Paul, MN
  • 12/2000 → Present
    Financial Advantage Associates
    Rockville , MD
  • 11/2006 → Present
    Erie Insurance
    Rockville, MD
  • 08/2023 → Present
    Cetera Wealth Services, Llc
    Rockville, MD
  • 08/2023 → Present
    Schaumburg, IL
Previous Registrations
  • 2002-04-26 → 2023-08-10
    Securian Financial Services, Inc.
    Rockville, MD
    Rockville, MD
    St. Paul, MN
Other Businesses

ERIE INSURANCE POSITION: Salesperson NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 11/01/2006 ADDRESS: , Rockville MD , United States DESCRIPTION: Salesperson FINANCIAL ADVANTAGE BROKERAGE POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 12/01/2000 ADDRESS: , Rockville MD , United States DESCRIPTION: Agent/Broker HOMEOWNERS ASSOCIATION PRESIDENT POSITION: Officer NATURE: Board Member INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 2 START DATE: 02/01/2014 ADDRESS: , Damascus MD , United States DESCRIPTION: Officer NAME OF OTHER BUSINESS: FINANCIAL ADVANTAGE ASSOCIATES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 12/2000 POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: FINANCIAL SERVICES, SALE AND SERVICE OF FIXED INSURANCE;

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2002-01-15
S63 Uniform Securities Agent State Law Examination 1997-12-15
  • S65 Uniform Investment Adviser Law Examination
    2002-01-15
  • S63 Uniform Securities Agent State Law Examination
    1997-12-15
Designations
Other Names
  • Kris Kornemann

View on SEC IAPD

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