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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
WI RA APPROVED 2023-06-29
  • WI RA
    APPROVED
    Since 2023-06-29

Branch Locations

405 N Rapids Rd Ste 3, Manitowoc, WI 54220 • 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
Voya Financial Advisors Manitowoc WI 09/2014 06/2021
Schug Financial Manitowoc WI 01/2010 Present
Cetera Wealth Services, Llc El Segundo CA 06/2021 Present
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
  • 09/2014 → 06/2021
    Voya Financial Advisors
    Manitowoc, WI
  • 01/2010 → Present
    Schug Financial
    Manitowoc, WI
  • 06/2021 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 06/2023 → Present
    Schaumburg, IL
Previous Registrations
Other Businesses

1. NAME OF ENTITY:SCHUG HOMES, LLC; No; 2835 44TH STREET; TWO RIVERS; WI; 54241; RENTAL PROPERTY; OWNER; 3/9/2012; 8; 8; OWN, RENOVATE, AND OPERATE RESIDENTIAL RENTAL PROPERTY 2. NAME OF ENTITY: INDEPENDENT INSURANCE AGENT; Yes; 405 NORTH RAPIDS RD STE 3; MANITOWOC; WI; 54220; FIXED INSURANCE SALES; INDEPENDENT INSURANCE AGENT; 1/4/2010; 160; 160; SALES OF FIXED INSURANCE PRODUCTS; 3. NAME OF OTHER BUSINESS: SCHUG FINANCIAL; INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES AND TAX PREPARATION, START DATE: 2/2024, POSITION/TITLE/RELATIONSHIP: ADMINISTRATIVE ASSISTANT, APX NUMBER OF HOURS PER WEEK: 20, APX NUMBER OF HOURS DURING TRADING HOURS: 20, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES AND TAX PREPARATION; 4. NAME OF OTHER BUSINESS: SUNRISE LAKE NEIGHBORHOOD ASSOCIATION; INVESTMENT RELATED: NO; ADDRESS: 12960 GROH LANE MOUNTAIN, WI 54149; NATURE OF BUSINESS: NEIGHBORHOOD ASSOCIATION; START DATE: 02/2024; POSITION/TITLE/RELATIONSHIP: VICE PRESIDENT/PRESIDENT; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: RUN THE ANNUAL MEETING, ARRANGE ACTIVITIES FOR THE MEETING AND SUMMER PICNIC, POINT OF CONTACT;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-11-24
  • S66 Uniform Combined State Law Examination
    2004-11-24

View on SEC IAPD

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