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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
CO RA APPROVED 2024-03-21
  • CO RA
    APPROVED
    Since 2024-03-21

Branch Locations

15 W. Cimarron Street Suite 202, Colorado Springs, CO 80903 • 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
Metlife Securities Inc. Colorado Springs CO 01/2015 03/2017
Massachusetts Mutual Life Insurance Company Colorado Springs CO 07/2016 02/2018
Mml Investors Services, Llc Colorado Springs CO 03/2017 02/2018
Cetera Advisors Llc Colorado Springs CO 02/2018 Present
Cetera Investment Advisers Llc Schaumburg IL 03/2024 Present
  • 01/2015 → 03/2017
    Metlife Securities Inc.
    Colorado Springs, CO
  • 07/2016 → 02/2018
    Massachusetts Mutual Life Insurance Company
    Colorado Springs, CO
  • 03/2017 → 02/2018
    Colorado Springs, CO
  • 02/2018 → Present
    Cetera Advisors Llc
    Colorado Springs, CO
  • 03/2024 → Present
    Schaumburg, IL
Previous Registrations
  • 2017-03-25 → 2018-03-14
    Colorado Springs, CO
  • 2015-01-02 → 2017-03-25
    Msi Financial Services, Inc.
    Colorado Springs, CO
  • 2006-01-27 → 2015-01-02
    New England Securities
    Colorado Springs, CO
    Colorado Springs, CO
Other Businesses

(1) NAME OF OTHER BUSINESS: BUSH ADVISORY GROUP, INC. INVESTMENT RELATED: YES; ADDRESS: 121 S. TEJON ST. SUITE 900, COLORADO SPRINGS, CO 80903; NATURE OF BUSINESS: DBA FOR FINANCIAL SERVICES; START DATE: 02/2018; POSITION/TITLE/RELATIONSHIP: OWNER / PRESIDENT; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: ADVISE AND ASSIST CLIENTS WITH INVESTMENT RELATED ACTIVITIES; (2) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 02/2018; APX NUMBER OF HOURS PER WEEK: 5; APX NUMBER OF HOURS DURING TRADING HOURS: 5; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, ANNUITIES AND LONG TERM CARE; (3) NAME OF OTHER BUSINESS: LIFE SETTLEMENT BUSINESS; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: LIFE SETTLEMENT; START DATE: 02/2018; APX NUMBER OF HOURS PER WEEK: VARIES; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SELLS LIFE SETTLEMENTS THROUGH WELCOME FUNDS, INC.;

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-01-21
S63 Uniform Securities Agent State Law Examination 2004-01-12
  • S65 Uniform Investment Adviser Law Examination
    2006-01-21
  • S63 Uniform Securities Agent State Law Examination
    2004-01-12
Designations

View on SEC IAPD

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