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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 2023-06-29
TX RA APPROVED 2023-06-29
  • MN RA
    APPROVED
    Since 2023-06-29
  • TX RA
    APPROVED
    Since 2023-06-29

Branch Locations

149 Main St West, Richmond, MN 56368 • 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
Independent Insurance & Financial Richmond MN 12/2002 11/2022
The Managed Assets Group Paynesville MN 01/2005 09/2017
Affiliated Financial And Insurance Services Richmond MN 02/2012 11/2022
Voya Financial Advisors Richmond MN 09/2014 06/2021
Cetera Wealth Services, Llc El Segundo CA 06/2021 Present
Transition Financial Solutions Richmond MN 10/2017 Present
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
  • 12/2002 → 11/2022
    Independent Insurance & Financial
    Richmond, MN
  • 01/2005 → 09/2017
    The Managed Assets Group
    Paynesville, MN
  • 02/2012 → 11/2022
    Affiliated Financial And Insurance Services
    Richmond, MN
  • 09/2014 → 06/2021
    Voya Financial Advisors
    Richmond, MN
  • 06/2021 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 10/2017 → Present
    Transition Financial Solutions
    Richmond, MN
  • 06/2023 → Present
    Schaumburg, IL
Previous Registrations
Other Businesses

NAME OF ENTITY:Clint Athmann; Yes; 365TH ST N; BROWERVILLE; MN; 56438; Land Investment; Part Owner; 8/1/2002; 0; 0; General maintenance of property. Part of property is farmed. Remaining is used for recreational activities.|NAME OF ENTITY: INDEPENDENT INSURANCE AGENT; Yes; 149 MAIN ST WEST; RICHMOND; MN; 56368; FIXED INSURANCE SALES; INDEPENDENT INSURANCE AGENT; 1/1/2002; 160; 160; SALES OF FIXED INSURANCE PRODUCTS|NAME OF ENTITY:TRANSITION FINANCIAL SOLUTIONS LLC; Yes; 149 MAIN ST WEST; RICHMOND; MN; 56368; FINANCIAL SEVICES/DBA; OWNER/FINANCIAL ADVISOR; 10/1/2017; 160; 140; SALE AND SERVICE INSURANCE,SECURITIES AND INVESTMENT PRODUCTS.|

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2010-09-07
  • S66 Uniform Combined State Law Examination
    2010-09-07

View on SEC IAPD

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