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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
MN RA APPROVED 2023-08-10
  • MN RA
    APPROVED
    Since 2023-08-10

Branch Locations

400 Robert St N Ste 800, St Paul, MN 55101 • United States

Chaska, 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
Ameriprise Financial Services, Inc. Minneapolis MN 04/2011 04/2018
Minnesota Life Insurance Company St. Paul MN 04/2018 08/2023
Securian Financial Services Inc St. Paul MN 04/2018 05/2018
Securian Financial Services Inc St. Paul MN 05/2018 08/2023
Cri Securities, Llc St. Paul MN 05/2018 Present
Cetera Wealth Services, Llc El Segundo CA 08/2023 Present
Cetera Investment Advisers Llc Schaumburg IL 08/2023 Present
  • 04/2011 → 04/2018
    Ameriprise Financial Services, Inc.
    Minneapolis, MN
  • 04/2018 → 08/2023
    Minnesota Life Insurance Company
    St. Paul, MN
  • 04/2018 → 05/2018
    Securian Financial Services Inc
    St. Paul, MN
  • 05/2018 → 08/2023
    Securian Financial Services Inc
    St. Paul, MN
  • 05/2018 → Present
    Cri Securities, Llc
    St. Paul, MN
  • 08/2023 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 08/2023 → Present
    Schaumburg, IL
Previous Registrations
  • 2018-05-17 → 2023-08-10
    Securian Financial Services, Inc.
    St. Paul, MN
  • 2018-05-17 → 2021-11-08
    Cri Securities, Llc
    St Paul, MN
  • 2011-04-26 → 2018-04-06
    Minneapolis, MN
    Minneapolis, MN
  • 2010-06-02 → 2011-04-18
    Osaic Fa, Inc.
    Edina, MN
  • 2009-05-11 → 2010-04-22
    First Command Brokerage Services, Inc.
    Bloomington, MN
Other Businesses

1. KNIGHTS OF COLUMBUS POSITION: Director NATURE: Board Member INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 07/01/2012 ADDRESS: , Bloomington MN , United States DESCRIPTION: Director; 2. NAME OF OTHER BUSINESS: TOASTMASTERS INTERNATIONAL; INVESTMENT RELATED: NO; ADDRESS: 9127 S. JAMAICA ST, STE 400, ENGLEWOOD, CO 80112; NATURE OF BUSINESS: BOARD; START DATE: 7/2024; POSITION/TITLE/RELATIONSHIP: TREASURER & VICE PRESIDENT; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: ATTEND MEETINGS, MANAGE CLUB EXPENSES & COORDINATE PAYING DUES TO ORGANIZATION;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-10-06
  • S66 Uniform Combined State Law Examination
    2007-10-06
Designations

View on SEC IAPD

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