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Cetera Investment Advisers LLC CRD 105644
$257B regulatory AUM 24,019 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| OH | RA | APPROVED | 2024-03-21 |
| TX | RA | APPROVED_RES | 2024-03-21 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Prosperity Advisors | Overland Park | KS | 02/2012 | Present |
| Cetera Advisors Llc | St Cloud | MN | 05/2004 | 01/2021 |
| Cetera Advisors Llc | St Cloud | MN | 01/2021 | Present |
| Flickinger Legal Group, Llc | Columbus | OH | 09/2021 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 03/2024 | Present |
(1) NAME OF OTHER BUSINESS: PROSPERITY ADVISORS ; INVESTMENT RELATED: YES ; ADDRESS: SAME AS REGISTEREDLOCATION ; NATURE OF BUSINESS: FINANCIAL SERVICES ; START DATE:12/2020 ; POSITION/TITLE/RELATIONSHIP: COMPLIANCE ASSOCIATE ; APX NUMBER OF HOURS PER WEEK: 40 ; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 ; BRIEF DESCRIPTION OF DUTIES: ASSIST IN SUPERVISION. DOCUPACE PRESCREEN. ANNUITY CORRESPONDENCE. GIFT LOG MONITORING ; (2) NAME OF OTHER BUSINESS: PURRFECT COMPANION CAT RESOURCE CENTER ; INVESTMENT RELATED: NO ; ADDRESS: 80 N. MULBERRY, CHILLI NATURE OF BUSINESS: NON-PROFIT ; START DATE: 01/2007 ; POSITION/TITLE/RELATIONSHIP: SECRETARY ; APX NUMBER OF HOURS PER WEEK: LESS THAN 1 ; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1 ; BRIEF DESCRIPTION OF DUTIES: TAKE NOTES AND VOLUNTEER FOR THE PROGRAMS ;
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2022-03-29 |
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