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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
TX RA APPROVED_RES 2023-08-10
UT RA APPROVED 2023-08-10
  • TX RA
    APPROVED_RES
    Since 2023-08-10
  • UT RA
    APPROVED
    Since 2023-08-10

Branch Locations

4991 S Harrison Blvd, Ogden, UT 84403 • 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
Securian Financial Services St. Paul MN 03/2000 08/2023
Minnesota Life Ins Co St. Paul MN 03/2000 08/2023
Strategic Financial Parnters Coloraod Springs CO 10/2011 Present
Cetera Wealth Services, Llc Ogden UT 08/2023 Present
Cetera Investment Advisers Llc Schaumburg IL 08/2023 Present
  • 03/2000 → 08/2023
    Securian Financial Services
    St. Paul, MN
  • 03/2000 → 08/2023
    Minnesota Life Ins Co
    St. Paul, MN
  • 10/2011 → Present
    Strategic Financial Parnters
    Coloraod Springs, CO
  • 08/2023 → Present
    Cetera Wealth Services, Llc
    Ogden, UT
  • 08/2023 → Present
    Schaumburg, IL
Previous Registrations
  • 2000-06-05 → 2023-08-10
    Securian Financial Services, Inc.
    Ogden, UT
    Ogden, UT
    Colorado Springs, CO
    Ogden, UT
    St. Paul, MN
Other Businesses

1) CFU ENTERPRISES, LLC POSITION: Owner NATURE: Pass Through Entity for Tax Purposes INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 07/01/2013 ADDRESS: 4991 Harrison Boulevard, Ogden UT 84403, United States DESCRIPTION: Set this entity up as a pass through entity for tax purposes only. The entity generates no income and has no activities. Solely for tax advantage purposes. 2) NAME OF OTHER BUSINESS: IMG FINANCIAL GROUP; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 08/2023; POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-07-17
S63 Uniform Securities Agent State Law Examination 1998-06-30
  • S65 Uniform Investment Adviser Law Examination
    1998-07-17
  • S63 Uniform Securities Agent State Law Examination
    1998-06-30

View on SEC IAPD

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