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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
MN RA APPROVED 2025-01-02
  • MN RA
    APPROVED
    Since 2025-01-02

Branch Locations

130 Park Ave S, St Cloud, MN 56301 • 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
Isd 47 Sauk Rapids MN 08/2013 08/2023
Anderson Financial St Cloud MN 06/2023 Present
Cetera Advisor Networks Llc El Segundo CA 06/2023 05/2024
Cetera Wealth Services, Llc El Segundo CA 05/2024 Present
Cetera Investment Advisers Llc Schaumburg IL 01/2025 Present
  • 08/2013 → 08/2023
    Isd 47
    Sauk Rapids, MN
  • 06/2023 → Present
    Anderson Financial
    St Cloud, MN
  • 06/2023 → 05/2024
    Cetera Advisor Networks Llc
    El Segundo, CA
  • 05/2024 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 01/2025 → Present
    Schaumburg, IL
Other Businesses

1. NAME OF OTHER BUSINESS: MINNESOTA MILITARY AND VETERANS MUSEUM INVESTMENT RELATED: NO ADDRESS: CAMP RIPLEY, 15000 HIGHWAY 115, LITTLE FALLS, MN 56345 NATURE OF BUSINESS: BOARD FIDUCIARY POSITION START DATE: 1/2023 POSITION/TITLE/RELATIONSHIP: VOLUNTEER BOARD MEMBER APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: HELP THE MUSEUM WITH EDUCATIONAL OUTREACH; 2. NAME OF OTHER BUSINESS: NOTARY PUBLIC INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: NOTARY SERVICES START DATE: 10/2023 POSITION/TITLE/RELATIONSHIP: NOTARY PUBLIC APX NUMBER OF HOURS PER WEEK: 0 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: NOTARY PUBLIC IN MN; 3. NAME OF OTHER BUSINESS: ANDERSON FINANCIAL INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 6/2023 POSITION/TITLE/RELATIONSHIP: ADMINISTRATIVE ASSISTANT/OFFICE MANAGER APX NUMBER OF HOURS PER WEEK: 30 APX NUMBER OF HOURS DURING TRADING HOURS: 20 BRIEF DESCRIPTION OF DUTIES: MONITOR TRADES AND DISTRIBUTIONS FOR COMPLETION AND ACCURACY; SUBMIT PAPERWORK FOR CLIENT ACCOUNT NEEDS; HANDLE BOOKKEEPING; ANSWER PHONES; HANDLE MAIL;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-11-15
S63 Uniform Securities Agent State Law Examination 1998-06-11
  • S66 Uniform Combined State Law Examination
    2024-11-15
  • S63 Uniform Securities Agent State Law Examination
    1998-06-11
Other Names
  • Win Anderson
  • Winifred Nina Smith
  • Win Smith

View on SEC IAPD

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