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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
NC RA APPROVED 2023-08-10
TX RA APPROVED_RES 2023-08-10
VA RA APPROVED 2023-08-10
  • NC RA
    APPROVED
    Since 2023-08-10
  • TX RA
    APPROVED_RES
    Since 2023-08-10
  • VA RA
    APPROVED
    Since 2023-08-10

Branch Locations

5129 Nc Hwy 55 St 101, Durham, NC 27713 • United States

1051 E Cary St St 1430, Richmond, VA 23219 • United States

110 Transom Ct, Littleton, NC 27850 • United States

Disclosures

2 disclosure categories 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 Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Minnesota Life Insurance Company St Paul MN 11/2003 08/2023
North Star Consultants, Inc Albuquerque NM 11/2003 Present
Cri Securities, Inc St Paul MN 11/2003 Present
Securian Financial Services, Inc St Paul MN 11/2003 08/2023
Cetera Wealth Services, Llc Durham NC 08/2023 Present
Cetera Investment Advisers Llc Schaumburg IL 08/2023 Present
  • 11/2003 → 08/2023
    Minnesota Life Insurance Company
    St Paul, MN
  • 11/2003 → Present
    North Star Consultants, Inc
    Albuquerque, NM
  • 11/2003 → Present
    Cri Securities, Inc
    St Paul, MN
  • 11/2003 → 08/2023
    Securian Financial Services, Inc
    St Paul, MN
  • 08/2023 → Present
    Cetera Wealth Services, Llc
    Durham, NC
  • 08/2023 → Present
    Schaumburg, IL
Previous Registrations
  • 2008-05-29 → 2023-08-10
    Securian Financial Services, Inc.
    Richmond, VA
    Albuquerque, NM
    Durham, NC
    Minneapolis, MN
    Albuquerque, NM
    St. Paul, MN
  • 2007-10-05 → 2012-12-31
    Cri Securities, Llc
    Albuquerque, NM
    Minneapolis, MN
    Albuquerque, NM
  • 2004-05-27 → 2007-12-31
    Marathon Advisors, Inc
    Albuquerque, NM
Other Businesses

NORTH STAR CONSULTANTS & NORTH STAR BROKERAGE POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2013 ADDRESS: , minneapolis MN , United States DESCRIPTION: Agent/Broker INFINITI REAL ESTATE LLC POSITION: Owner NATURE: Rental Property INVESTMENT RELATED: Yes NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 05/01/2016 ADDRESS: 1405 Mackinaw Dr, Wake Forest NC 27587, United States DESCRIPTION: Rental properties.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-03-19
  • S66 Uniform Combined State Law Examination
    2004-03-19

View on SEC IAPD

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