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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 |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2023-01-12 |
| TN | RA | APPROVED | 2020-11-03 |
Branch Locations
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Suntrust Bank | Brentwood | TN | 08/2015 | 03/2019 |
| Suntrust Investment Services | Atlanta | GA | 08/2015 | 03/2019 |
| Suntrust Advisory Services | Atlanta | GA | 09/2016 | 03/2019 |
| Fifth Third Bank | Nashville | TN | 03/2019 | 10/2020 |
| Fifth Third Securities | Nashville | TN | 03/2019 | 10/2020 |
| Regions Bank | Brentwood | TN | 11/2020 | Present |
| Cetera Investment Services Llc | St. Cloud | MN | 11/2020 | Present |
| Cetera Investment Advisers Llc | Brentwood | TN | 11/2020 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2016-11-10 |
| S63 | Uniform Securities Agent State Law Examination | 2015-04-03 |
| S66 | Uniform Combined State Law Examination | 2003-08-22 |
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