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Employer firm

Cetera Investment Advisers LLC CRD 105644

$257B regulatory AUM 24,019 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Educational seminars

From the firm’s Form ADV. Read the guides:

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 2014-01-21
  • MN RA
    APPROVED
    Since 2014-01-21

Branch Locations

400 1St St S Ste 300, St Cloud, MN 56301 • United States

New London, MN • 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
Cetera Investment Services Llc St. Cloud MN 03/2002 Present
Cetera Investment Advisers Llc Schaumburg IL 01/2014 Present
Cetera Wealth Services, Llc El Segundo CA 05/2016 Present
Cetera Financial Specialists Llc Schaumburg IL 06/2016 Present
Girard Securities, Inc. San Diego CA 06/2016 11/2017
First Allied Securities, Inc. San Diego CA 06/2016 09/2022
Summit Brokerage Services, Inc. Boca Raton FL 06/2016 Present
Cetera Advisors Llc Denver CO 06/2016 Present
  • 03/2002 → Present
    Cetera Investment Services Llc
    St. Cloud, MN
  • 01/2014 → Present
    Schaumburg, IL
  • 05/2016 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 06/2016 → Present
    Cetera Financial Specialists Llc
    Schaumburg, IL
  • 06/2016 → 11/2017
    Girard Securities, Inc.
    San Diego, CA
  • 06/2016 → 09/2022
    First Allied Securities, Inc.
    San Diego, CA
  • 06/2016 → Present
    Summit Brokerage Services, Inc.
    Boca Raton, FL
  • 06/2016 → Present
    Cetera Advisors Llc
    Denver, CO
Other Businesses

(1) NAME OF OTHER BUSINESS: ROCKâ??N HILLS LLC ; INVESTMENT RELATED: NO ADDRESS: 43311 COUNTY ROAD 35, FREEPORT, MN 56331 ; NATURE OF BUSINESS: FARMLAND ; START DATE: 02/2015 ; POSITION/TITLE/RELATIONSHIP: SECRETARY ; APX NUMBER OF HOURS PER WEEK: 1 ; APX NUMBER OF HOURS DURING TRADING HOURS: 1 ; BRIEF DESCRIPTION OF DUTIES: FILING LLC ANNUAL RENEWAL ;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-12-10
  • S66 Uniform Combined State Law Examination
    2009-12-10
Other Names
  • Anne Rose Voit

View on SEC IAPD

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