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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
TX RA APPROVED_RES 2023-01-12
MI RA APPROVED 2020-10-02
  • TX RA
    APPROVED_RES
    Since 2023-01-12
  • MI RA
    APPROVED
    Since 2020-10-02

Branch Locations

1111 West Caro Road, Caro, MI 48723 • 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 No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Cetera Investment Services Llc St Cloud MN 09/2011 Present
Chemical Bank Caro MI 09/2011 Present
Cetera Investment Advisers Llc Caro MI 10/2020 Present
  • 09/2011 → Present
    Cetera Investment Services Llc
    St Cloud, MN
  • 09/2011 → Present
    Chemical Bank
    Caro, MI
  • 10/2020 → Present
    Caro, MI
Other Businesses

BASKETBALL COACH AT KINGSTON COMMUNITY SCHOOLS; 10 HRS/WK

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-10-01
S63 Uniform Securities Agent State Law Examination 2009-05-14
  • S66 Uniform Combined State Law Examination
    2020-10-01
  • S63 Uniform Securities Agent State Law Examination
    2009-05-14

View on SEC IAPD

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