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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
NY RA APPROVED 2023-08-10
TX RA APPROVED 2023-08-10
  • NY RA
    APPROVED
    Since 2023-08-10
  • TX RA
    APPROVED
    Since 2023-08-10

Branch Locations

1430 Broadway 9Th Fl, New York, NY 10018 • 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
Minnesota Life Insurance Company St Paul MN 04/2014 08/2023
Allied Wealth Partners New York NY 04/2014 Present
Securian Financial Services, Inc St Paul MN 04/2014 08/2023
Thomas Claro Brooklyn NY 01/1999 11/2017
Cetera Wealth Services, Llc New York NY 08/2023 Present
Cetera Investment Advisers Llc Schaumburg IL 08/2023 Present
  • 04/2014 → 08/2023
    Minnesota Life Insurance Company
    St Paul, MN
  • 04/2014 → Present
    Allied Wealth Partners
    New York, NY
  • 04/2014 → 08/2023
    Securian Financial Services, Inc
    St Paul, MN
  • 01/1999 → 11/2017
    Thomas Claro
    Brooklyn, NY
  • 08/2023 → Present
    Cetera Wealth Services, Llc
    New York, NY
  • 08/2023 → Present
    Schaumburg, IL
Previous Registrations
  • 2016-05-26 → 2023-08-10
    Securian Financial Services, Inc.
    New York, NY
    St. Paul, MN
Other Businesses

ALLIED WEALTH PARTNERS POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 04/01/2014 ADDRESS: , New York NY , United States DESCRIPTION: Agent/Broker

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-07-30
S63 Uniform Securities Agent State Law Examination 2004-06-01
  • S66 Uniform Combined State Law Examination
    2015-07-30
  • S63 Uniform Securities Agent State Law Examination
    2004-06-01
Other Names
  • Thomas Claro
  • Thomas Frank Claro

View on SEC IAPD

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