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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
MT RA APPROVED 2023-06-29
  • MT RA
    APPROVED
    Since 2023-06-29

Branch Locations

Billings, MT • United States

550 N. 31St Street Suite 530, Billings, MT 59101 • 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
First Financial Equity Corporation Billings MT 12/2009 04/2022
Cetera Wealth Services, Llc Billings MT 04/2022 Present
Sorrel Horse Llc Billings MT 08/1988 Present
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
  • 12/2009 → 04/2022
    First Financial Equity Corporation
    Billings, MT
  • 04/2022 → Present
    Cetera Wealth Services, Llc
    Billings, MT
  • 08/1988 → Present
    Sorrel Horse Llc
    Billings, MT
  • 06/2023 → Present
    Schaumburg, IL
Previous Registrations
  • 2009-12-21 → 2022-04-20
    Ffec Wealth Partners Llc
    Billings, MT
    Billings, MT
    Billings, MT
  • 2008-03-17 → 2010-01-06
    Msi Financial Services, Inc.
    Billings, MT
  • 2004-01-21 → 2005-05-25
    Waddell & Reed
    Billings, MT
Other Businesses

1. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE POSITION/TITLE/RELATIONSHIP: AGENT START DATE: 1/2004 APX NUMBER OF HOURS PER WEEK: 5 APX NUMBER OF HOURS DURING TRADING HOURS: 1 BRIEF DESCRIPTION OF DUTIES: SALES OF LIFE, ANNUITIES AND LONG-TERM CARE; 2. NAME OF OTHER BUSINESS: MONTANA SAFARI CLUB INVESTMENT RELATED: NO ADDRESS: PO BOX 1754, BILLINGS, MT 59103 NATURE OF BUSINESS: NONPROFIT ORGANIZATION FOR THE CONSERVATION OF WILDLIFE, EDUCATION OF THE PEOPLE AND PROTECTION OF HUNTER'S RIGHTS START DATE: 8/2014 POSITION/TITLE/RELATIONSHIP: BOARD MEMBER APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: PROVIDING GUIDANCE TO THE BOARD, BOARD ADVISORY; 3. NAME OF OTHER BUSINESS: TOPKNOT LLC INVESTMENT RELATED: NO ADDRESS: 4928 INDIAN RIDGE RD, BILLINGS, MT 59101 NATURE OF BUSINESS: EQUIPMENT RENTAL START DATE: 6/2004 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: GENERAL CURRENTLY ENTITY IS INACTIVE HOWEVER LLC IS ACTIVE, EQUIPMENT RENTAL.; 4. NAME OF OTHER BUSINESS: FFEC WEALTH PARTNERS INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: PROVIDE FINANCIAL SERVICES START DATE: 4/2022 POSITION/TITLE/RELATIONSHIP: VP INVESTMENTS APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: PROVIDING FINANCIAL SERVICES UNDER FFEC 5. NAME OF OTHER BUSINESS: ATARAXIA INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: INSURANCE POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT START DATE: 3/2021 APX NUMBER OF HOURS PER WEEK: 5 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: INSURANCE AGENT; 6. NAME OF OTHER BUSINESS: SORREL HORSE LLC; INVESTMENT RELATED: NO; ADDRESS: 4539 COULEE DR, BILLINGS, MT 59101; NATURE OF BUSINESS: FARM; START DATE: 8/1988; POSITION/TITLE/RELATIONSHIP: OWNER/MANAGING PARTNER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: MANAGING PARTNER, BACK UP TREASURER FOR HORSE FARM - FARMING & WILDLIFE HABITAT;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-01-19
  • S66 Uniform Combined State Law Examination
    2004-01-19

View on SEC IAPD

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