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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 2023-08-10
FL RA APPROVED 2023-07-28
  • TX RA
    APPROVED_RES
    Since 2023-08-10
  • FL RA
    APPROVED
    Since 2023-07-28

Branch Locations

10199 Southside Blvd Ste 200, Jacksonville, FL 32256 • 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
Securian Financial Services Inc St Paul MN 05/2016 08/2023
Minnestoa Life Insurance Co St Paul MN 05/2016 08/2023
Capital Financial Strategies Jacksonville FL 05/2016 Present
Cetera Wealth Services, Llc El Segundo CA 07/2023 Present
Cetera Investment Advisers Llc Schaumburg IL 07/2023 Present
Graham Family Farms, Llc Andersonville GA 08/2023 Present
  • 05/2016 → 08/2023
    Securian Financial Services Inc
    St Paul, MN
  • 05/2016 → 08/2023
    Minnestoa Life Insurance Co
    St Paul, MN
  • 05/2016 → Present
    Capital Financial Strategies
    Jacksonville, FL
  • 07/2023 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 07/2023 → Present
    Schaumburg, IL
  • 08/2023 → Present
    Graham Family Farms, Llc
    Andersonville, GA
Previous Registrations
  • 2016-06-06 → 2023-08-10
    Securian Financial Services, Inc.
    Jacksonville, FL
    Jacksonville, FL
    St Paul, MN
  • 2015-01-02 → 2016-05-19
    Msi Financial Services, Inc.
    Jacksonville, FL
  • 2006-09-19 → 2015-01-02
    New England Securities
    Jacksonville, FL
    Jacksonville, FL
Other Businesses

1) PRINCIPAL FIXED INSURANCE POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 01/01/2015 ADDRESS: , Jacksonville FL , United States DESCRIPTION: Agent/Broker 2) NAME OF OTHER BUSINESS: GRAHAM FAMILY FARMS, LLC; INVESTMENT RELATED: NO; ADDRESS: 361 PENNINGTON RD ANDERSONVILLE, GA 31711; NATURE OF BUSINESS: PINE TREE FARM; START DATE: 08/2023; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: PINE TREE FARM, MAINTAIN PINE TREES; 3) NAME OF OTHER BUSINESS: CAPITAL FINANCIAL STRATEGIES; INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 6/2016, POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2020-11-12
S65 Uniform Investment Adviser Law Examination 2006-09-12
  • S63 Uniform Securities Agent State Law Examination
    2020-11-12
  • S65 Uniform Investment Adviser Law Examination
    2006-09-12

View on SEC IAPD

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