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

Branch Locations

10700 W Research Drive Suite 100, Milwaukee, WI 53226 • United States

Muskego, WI • 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
Landaas & Company Milwaukee WI 05/2004 03/2023
Lewis Financial Milwaukee WI 03/2023 Present
Cetera Wealth Services, Llc El Segundo CA 04/2023 Present
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
Previous Registrations
Other Businesses

1. NAME OF OTHER BUSINESS: LEGACY LANDSCAPING LLC INVESTMENT RELATED: NO ADDRESS: S81W18510 GEMINI DR #3 MUSKEGO, WI NATURE OF BUSINESS: LANDSCAPING START DATE: 01/2021 POSITION/TITLE/RELATIONSHIP: MEMBER APX NUMBER OF HOURS PER WEEK: 0 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: I HAVE NO DUTIES. I AM A MEMBER OF THE LLC OF THE COMPANY MY HUSBAND OWNS 2. NAME OF OTHER BUSINESS: SCHULEW INVESTMENT RELATED: NO ADDRESS: S81W18510 GEMINI DR #3 MUSKEGO, WI NATURE OF BUSINESS: REAL ESTATE START DATE: 01/2016 POSITION/TITLE/RELATIONSHIP: MEMBER APX NUMBER OF HOURS PER WEEK: 0 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: I HAVE NOT DUTIES FOR THIS ROLE. THIS IS MY HUSBANDS COMPANY. 3. NAME OF OTHER BUSINESS: LEWIS FINANCIAL INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 03/2023 POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 30 BRIEF DESCRIPTION OF DUTIES: PROVIDE FINANCIAL SERVICES

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2023-07-27
S63 Uniform Securities Agent State Law Examination 1998-03-14
  • S65 Uniform Investment Adviser Law Examination
    2023-07-27
  • S63 Uniform Securities Agent State Law Examination
    1998-03-14
Other Names
  • Lisa Ann Bock

View on SEC IAPD

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