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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
SD RA APPROVED 2023-06-29
TX RA APPROVED 2023-06-29
  • SD RA
    APPROVED
    Since 2023-06-29
  • TX RA
    APPROVED
    Since 2023-06-29

Branch Locations

201 Main St Ste 201, Rapid City, SD 57701 • 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
U.S. Bancorp Investments, Inc. Rapid City SD 08/2011 05/2019
Point Wealth Advisors Rapid City SD 05/2019 Present
West River Estate And Financial Planning Council Rapid City SD 08/2017 03/2020
Cetera Wealth Services, Llc El Segundo CA 05/2019 Present
Broadhead, Llc Rapid Citys SD 05/2019 Present
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
Broadhead Land Co, Llc Rapid City SD 07/2026 Present
  • 08/2011 → 05/2019
    Rapid City, SD
  • 05/2019 → Present
    Point Wealth Advisors
    Rapid City, SD
  • 08/2017 → 03/2020
    West River Estate And Financial Planning Council
    Rapid City, SD
  • 05/2019 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 05/2019 → Present
    Broadhead, Llc
    Rapid Citys, SD
  • 06/2023 → Present
    Schaumburg, IL
  • 07/2026 → Present
    Broadhead Land Co, Llc
    Rapid City, SD
Previous Registrations
  • 2011-09-09 → 2019-05-14
    Bernalillo, NM
    Hurricane, UT
    Saint George, UT
    Rio Rancho, NM
    Rio Rancho, NM
    Bernalillo, NM
    Placitas, NM
    Belen, NM
    Taos, NM
    El Prado, NM
    Taos, NM
    Albuquerque, NM
    Los Lunas, NM
    Moriarty, NM
    Placitas, NM
    Rio Rancho, NM
    Rio Rancho, NM
    Rapid City, SD
    Pierre, SD
    Casper, WY
    Gillette, WY
    Sheridan, WY
    Rapid City, SD
    Cody, WY
  • 2007-10-02 → 2011-09-13
    Mesa, AZ
    Albuquerque, NM
    Albuquerque, NM
    Albuquerque, NM
    Fort Mill, SC
    Albuquerque, NM
    Phoenix, AZ
  • 2007-05-17 → 2007-09-12
    Secu Brokerage Services
    West Jordan, UT
    Phoenix, AZ
    Albuquerque, NM
  • 2006-05-15 → 2006-12-20
    Ameriprise Advisor Services, Inc.
    Midvale, UT
    Salt Lake City, UT
Other Businesses

(1) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 2/2019 APX NUMBER OF HOURS PER WEEK: 2 APX NUMBER OF HOURS DURING TRADING HOURS: MINIMAL POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, ANNUITIES, AND LONG-TERM CARE (2) NAME OF OTHER BUSINESS: POINT WEALTH ADVISORS INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 5/2019 POSITION/TITLE/RELATIONSHIP: OWNER AND FINANCIAL ADVISOR APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: OWNER AND FINANCIAL ADVISOR ; (3) NAME OF OTHER BUSINESS: BROADHEAD, LLC; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: DBA FOR TAX PURPOSES; START DATE: 5/2019; POSITION/TITLE/RELATIONSHIP: CO-OWNER; APX NUMBER OF HOURS PER WEEK: NONE; APX NUMBER OF HOURS DURING TRADING HOURS: NONE; BRIEF DESCRIPTION OF DUTIES: OWNER, DBA FOR TAX PURPOSES; (4) NAME OF OTHER BUSINESS: ADVISORNET FINANCIAL; INVESTMENT RELATED: NO; ADDRESS: 701 4TH AVE S SUITE 1500 MINNEAPOLIS, MN 55415; NATURE OF BUSINESS: BOARD OF DIRECTORS; START DATE: 9/2022; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER ; APX NUMBER OF HOURS PER WEEK: LESS THAN 1; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES; BRIEF DESCRIPTION OF DUTIES: VOTE AND DISCUSS BUSINESS OF THE FIRM; (5) NAME OF OTHER BUSINESS: LEGACY HILLS INVESTMENTS LLC; INVESTMENT RELATED: NO; ADDRESS: 1719 WEST MAIN ST. SUITE 202 RAPID CITY, SD 57702; NATURE OF BUSINESS: REAL ESTATE; START DATE: 4/2025; POSITION/TITLE/RELATIONSHIP:CO-OWNER/PARTNER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: REAL ESTATE DEVELOPMENT; (6) NAME OF OTHER BUSINESS: MAJ, LLC; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: HOLDING COMPANY; START DATE: 07/2025; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 0; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: ENTITY FOR MARKETING PURPOSES; 7) NAME OF OTHER BUSINESS: BROADHEAD LAND CO, LLC; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: REAL ESTATE RENTAL; START DATE: 7/2026; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: REAL ESTATE RENTAL;

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-05-12
S63 Uniform Securities Agent State Law Examination 2000-03-31
  • S65 Uniform Investment Adviser Law Examination
    2006-05-12
  • S63 Uniform Securities Agent State Law Examination
    2000-03-31
Designations

View on SEC IAPD

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