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Cetera Investment Advisers LLC CRD 105644
$257B regulatory AUM 24,019 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2022-04-22 |
| WI | RA | APPROVED | 2017-02-10 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| First Community Bank | Milton | WI | 08/2006 | Present |
| Cetera Investment Services Llc | St Cloud | MN | 04/2011 | Present |
| Cetera Investment Advisers Llc | Milton | WI | 02/2017 | Present |
1.) PERSONAL BANKING OFFICER, FIRST COMMUNITY BANK, PROVIDING SERVICES TO BANK CLIENTS IN NEED OF DEPOSIT SERVICES, MANAGES ANOTHER PERSONAL BANKER AND RECEPTIONIST, RECEIVES SALARY FOR BANK ROLE, NO PLACING/RECOMMENDING SECURITIES TRANSACTIONS, NO INVESTMENT DECISIONS MADE.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2017-02-09 |
| S63 | Uniform Securities Agent State Law Examination | 2011-06-24 |
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