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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 |
|---|---|---|---|
| MA | RA | APPROVED | 2024-03-21 |
| RI | RA | APPROVED | 2024-03-21 |
Branch Locations
40 Speen Street Suite 202, Framingham, MA 01701 • United States
2 disclosure categories 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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Cco Investment Services Corp | Cranston | RI | 08/2009 | 01/2018 |
| Cetera Advisors Llc | Denver | CO | 03/2018 | Present |
| Unemployed | Cranston | RI | 01/2018 | 03/2018 |
| Cetera Investment Advisers Llc | Schaumburg | IL | 03/2024 | Present |
NAME OF OTHER BUSINESS: NORTHEAST INVESTMENT ADVISORS; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: DBA FOR INSURANCE AND FINANCIAL SERVICES; START DATE: 03/2018; POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: DBA FOR INSURANCE AND FINANCIAL SERVICES; Update to U4: NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 03/2018; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 2; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, ANNUITIES AND LONG TERM CARE;
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2002-11-20 |
| S63 | Uniform Securities Agent State Law Examination | 1998-07-03 |
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