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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 2023-01-12
OH RA APPROVED 2014-01-21
  • TX RA
    APPROVED
    Since 2023-01-12
  • OH RA
    APPROVED
    Since 2014-01-21

Branch Locations

100 N Sandusky Ave, Upper Sandusky, OH 43351 • 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
First Citizens National Bank Of Upper Sandusky Upper Sandusky OH 07/2003 Present
Cetera Investment Services Llc St. Cloud MN 06/2012 Present
Cetera Investment Advisers Llc Upper Sandusky OH 01/2014 Present
  • 07/2003 → Present
    First Citizens National Bank Of Upper Sandusky
    Upper Sandusky, OH
  • 06/2012 → Present
    Cetera Investment Services Llc
    St. Cloud, MN
  • 01/2014 → Present
    Upper Sandusky, OH
Previous Registrations
  • 2004-06-21 → 2012-06-13
    Cetera Wealth Services, Llc
    Upper Sandusky, OH
    Dunkirk, OH
    Powell, OH
    Marion, OH
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2021-03-19
S63 Uniform Securities Agent State Law Examination 1998-07-29
  • S65 Uniform Investment Adviser Law Examination
    2021-03-19
  • S63 Uniform Securities Agent State Law Examination
    1998-07-29

View on SEC IAPD

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