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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
IL RA APPROVED 2024-12-06
  • IL RA
    APPROVED
    Since 2024-12-06

Branch Locations

311 Banker Blvd, Vandalia, IL 62471 • United States

Disclosures

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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
First National Bank Vandalia IL 04/2006 06/2019
Investment Centers Of America Vandalia IL 08/2006 10/2017
Cambridge Investment Research, Inc. Fairfield IA 10/2017 11/2024
Cambridge Investment Research Advisors, Inc. Fairfield IA 10/2017 11/2024
Cetera Wealth Services, Llc El Segundo CA 11/2024 Present
Cetera Investment Advisers Llc Schaumburg IL 11/2024 Present
Fnb Financial Advisors Vandalia IL 11/2024 Present
Fnb Community Bank Vandalia IL 06/2019 Present
  • 04/2006 → 06/2019
    First National Bank
    Vandalia, IL
  • 08/2006 → 10/2017
    Investment Centers Of America
    Vandalia, IL
  • 10/2017 → 11/2024
    Cambridge Investment Research, Inc.
    Fairfield, IA
  • 10/2017 → 11/2024
    Fairfield, IA
  • 11/2024 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 11/2024 → Present
    Schaumburg, IL
  • 11/2024 → Present
    Fnb Financial Advisors
    Vandalia, IL
  • 06/2019 → Present
    Fnb Community Bank
    Vandalia, IL
Previous Registrations
Other Businesses

1. NAME OF OTHER BUSINESS: THE FNB COMMUNITY BANK INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: BANK / SECURITIES DBA START DATE: 06/2019 POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: FINANCIAL PROFESSIONAL 2. NAME OF OTHER BUSINESS: FNB FINANCIAL ADVISORS DBA INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: DBA FOR MARKETING AND FINANCIAL SERVICES START DATE: 11/2024 POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32 BRIEF DESCRIPTION OF DUTIES: I PROVIDE BROKERAGE AND ADVISORY SERVICES TO CLIENTS WHEN NEEDED 3. NAME OF OTHER BUSINESS: VANDALS SPORTS BOOSTER CLUB INVESTEMENT RELATED: NO ADDRESS: VANDALIA, IL NATURE OF BUSINESS: BOARD FIDUCIARY POSITION START DATE: 09/2023 POSITION/TITLE/RELATIONSHIP: TREASURER APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: SERVE ON BOARD, HANDLE DEPOSITS FROM TAILGATE EVENTS, AND PAY BILLS AS NEEDED 4. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 12/2024;; APX NUMBER OF HOURS PER WEEK: 5; APX NUMBER OF HOURS DURING TRADING HOURS: 5; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SALES OF FIXED INSURANCE PRODUCTS; 5. NAME OF OTHER BUSINESS: FNB COMMUNITY BANK AND/OR FNB FINANCIAL ADVISORS; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: BANKING; POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL; START DATE: 12/2024; APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: EMPLOYEE OF THE BANK, HOWEVER ALL ACTIVITIES ARE NON-BANK ACTIVITIES;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-10-12
  • S66 Uniform Combined State Law Examination
    2006-10-12

View on SEC IAPD

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