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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
IN RA APPROVED 2023-06-29
TX RA APPROVED 2023-06-29
  • IN RA
    APPROVED
    Since 2023-06-29
  • TX RA
    APPROVED
    Since 2023-06-29

Branch Locations

622 N Madison Ave Ste 10, Greenwood, IN 46142 • 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
Promise Advisory Group Greenwood IN 03/2007 Present
Voya Financial Advisors Greenwood IN 09/2014 06/2021
Cetera Wealth Services, Llc El Segundo CA 06/2021 Present
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
  • 03/2007 → Present
    Promise Advisory Group
    Greenwood, IN
  • 09/2014 → 06/2021
    Voya Financial Advisors
    Greenwood, IN
  • 06/2021 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 06/2023 → Present
    Schaumburg, IL
Previous Registrations
  • 2007-02-27 → 2021-06-09
    Grafton, MA
    Franklin, IN
    Greenwood, IN
    Jasper, IN
    Windsor, CT
    Franklin, IN
    Greenwood, IN
Other Businesses

1) NAME OF ENTITY: INDEPENDENT INSURANCE AGENT; Yes; 633 LIBRARY PARK DR STE I; GREENWOOD; IN; 46142; FIXED INSURANCE SALES; INDEPENDENT INSURANCE AGENT; 10/13/2006; 160; 160; SALES OF FIXED INSURANCE PRODUCTS 2) NAME OF ENTITY: Promise Advisory Group; Yes; 622 N Madison Ave., Suite 10; GREENWOOD; IN; 46142; Financial Services/dba; representative; 3/1/2007; 160; 160; Sale and service of securities, investments, and variable and fixed insurance products 3) NAME OF OTHER BUSINESS: FRANKLIN CHAMBER OF COMMERCE; INVESTMENT RELATED: NO; ADDRESS: 120 EAST JEFFERSON STREET FRANKLIN, IN 46131; NATURE OF BUSINESS: NON PROFIT; START DATE: 01/2024; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: PARTICIPATE IN LEADERSHIP, GUIDANCE FOR THE CHAMBER; 4) NAME OF OTHER BUSINESS: FRANKLIN HERITAGE, INC.; INVESTMENT RELATED: NO; ADDRESS: 57 N MAIN ST, FRANKLIN, IN 46131; NATURE OF BUSINESS: BOARD; START DATE: 1/2026; POSITION/TITLE/RELATIONSHIP: ELECTED BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: ATTEND MONTHLY MEETINGS AS PART OF A BOARD; 5) NAME OF OTHER BUSINESS: POA FOR FAMILY FRIEND; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: POA FOR FAMILY FRIEND; START DATE: 4/2026; POSITION/TITLE/RELATIONSHIP: POA FOR FAMILY FRIEND; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: POA FOR FAMILY FRIEND;

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2007-02-05
S63 Uniform Securities Agent State Law Examination 2005-02-14
  • S65 Uniform Investment Adviser Law Examination
    2007-02-05
  • S63 Uniform Securities Agent State Law Examination
    2005-02-14
Designations

View on SEC IAPD

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