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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
DE RA APPROVED 2023-08-10
TX RA APPROVED_RES 2023-08-10
  • DE RA
    APPROVED
    Since 2023-08-10
  • TX RA
    APPROVED_RES
    Since 2023-08-10

Branch Locations

900 Prides Crossing, Newark, DE 19713 • 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
Minnesota Life St. Paul MN 01/2000 08/2023
Securian Financial Services St. Paul MN 01/2000 08/2023
Diamond State Financial Group Inc Newark DE 01/2000 Present
Cetera Wealth Services, Llc Newark DE 08/2023 Present
Cetera Investment Advisers Llc Schaumburg IL 08/2023 Present
Dsfg Tax & Advisory Newark DE 09/2025 Present
  • 01/2000 → 08/2023
    Minnesota Life
    St. Paul, MN
  • 01/2000 → 08/2023
    Securian Financial Services
    St. Paul, MN
  • 01/2000 → Present
    Diamond State Financial Group Inc
    Newark, DE
  • 08/2023 → Present
    Cetera Wealth Services, Llc
    Newark, DE
  • 08/2023 → Present
    Schaumburg, IL
  • 09/2025 → Present
    Dsfg Tax & Advisory
    Newark, DE
Previous Registrations
  • 2001-01-29 → 2023-08-10
    Securian Financial Services, Inc.
    Newark, DE
    Newark, DE
    St. Paul, MN
Other Businesses

1) BOOK AUTHOR POSITION: Owner NATURE: Author INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 07/01/2012 ADDRESS: , Hockessin DE , United States DESCRIPTION: Owner 2) DSFG FIXED INSURANCE POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 07/14/2016 ADDRESS: , Newark DE , United States DESCRIPTION: Agent/Broker 3) 2B BY THE SEA LLC POSITION: Member NATURE: Rental Property INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2020 ADDRESS: 419 Harrison Dr, Hockessin DE 19707, United States DESCRIPTION: currently own a property with Keith Baker that we disclosed and bought in March of 2019. We are moving to LLC for liability protection since we are renting it. 4) 707 RENTAL PROPERTY LLC POSITION: Partner NATURE: Rental Property INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2014 ADDRESS: 419 Harrison Drive, Hockessin DE 19707, United States DESCRIPTION: Rental Properties 5) THE 808 PROPERTIES LLC POSITION: Member NATURE: Rental Property INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2020 ADDRESS: 419 Harrison Dr, Hockessin DE 19707, United States DESCRIPTION: 2 rental properties are being moved from the 707 to the 808 for liability purposes. 6) DSFG REAL ESTATE HOLDINGS, LLC POSITION: Owner NATURE: Rental Property INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 06/15/2022 ADDRESS: 419 Harrison Drive, Hockessin DE 19707, United States DESCRIPTION: building that dsfg will be a tenant of. 7) NAME OF OTHER BUSINESS: DSFG CARES, INC; INVESTMENT RELATED: NO; ADDRESS: 900 PRIDES CROSSING; NEWARK, DE 19713 NATURE OF BUSINESS: NON PROFIT; START DATE: 06/2023; POSITION/TITLE/RELATIONSHIP: PRESIDENT; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: HELP DETERMINE WHICH LOCAL CHARITY IS GOING TO RECEIVE DONATION FOR THE YEAR; 8) NAME OF OTHER BUSINESS: DIAMOND STATE FINANCIAL GROUP; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: INSURANCE, SECURITIES AND ADVISORY SERVICES; START DATE: 08/2023; 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: SECURITIES AND ADVISORY SERVICES; 9) NAME OF OTHER BUSINESS: DSFG TAX & ADVISORY; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: TAX & ACCOUNTING; START DATE: 9/2025; POSITION/TITLE/RELATIONSHIP: PRESIDENT/OWNER; APX NUMBER OF HOURS PER WEEK: 5; APX NUMBER OF HOURS DURING TRADING HOURS: 5; BRIEF DESCRIPTION OF DUTIES: PREPARE TAX RETURNS FOR CLIENTS;

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2000-10-26
S63 Uniform Securities Agent State Law Examination 2000-03-24
  • S65 Uniform Investment Adviser Law Examination
    2000-10-26
  • S63 Uniform Securities Agent State Law Examination
    2000-03-24
Designations

View on SEC IAPD

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