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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
MN RA APPROVED 2025-09-05
  • MN RA
    APPROVED
    Since 2025-09-05

Branch Locations

9800 Shelard Parkway Ste 330, Plymouth, MN 55441 • 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
1St Global Capital Corp Plymouth MN 07/2007 10/2019
1St Global Advisors, Inc. Plymouth MN 11/2007 10/2019
Avantax Insurance Services, Inc. Plymouth MN 08/2005 09/2025
Rgw Wealth Management, Llc Plymouth MN 04/2016 Present
Avantax Advisory Services Plymonth MN 10/2019 09/2025
Avantax Investment Services, Inc. Plymonth MN 10/2019 09/2025
Gmw Cpa Advisors Pllc Plymouth MN 01/2008 Present
Cetera Wealth Services, Llc Plymouth MN 09/2025 Present
Cetera Investment Advisers Llc Schaumburg IL 09/2025 Present
  • 07/2007 → 10/2019
    1St Global Capital Corp
    Plymouth, MN
  • 11/2007 → 10/2019
    1St Global Advisors, Inc.
    Plymouth, MN
  • 08/2005 → 09/2025
    Avantax Insurance Services, Inc.
    Plymouth, MN
  • 04/2016 → Present
    Rgw Wealth Management, Llc
    Plymouth, MN
  • 10/2019 → 09/2025
    Avantax Advisory Services
    Plymonth, MN
  • 10/2019 → 09/2025
    Avantax Investment Services, Inc.
    Plymonth, MN
  • 01/2008 → Present
    Gmw Cpa Advisors Pllc
    Plymouth, MN
  • 09/2025 → Present
    Cetera Wealth Services, Llc
    Plymouth, MN
  • 09/2025 → Present
    Schaumburg, IL
Previous Registrations
  • 2019-10-25 → 2025-09-05
    Avantax Advisory Services
    Plymouth, MN
  • 2013-12-16 → 2019-10-25
    1St Global Advisors Inc
    Plymouth, MN
    Plymouth, MN
Other Businesses

1) RGW WEALTH MANAGEMENT, LLC POSITION: Member/Manager NATURE: Financial services INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 1 START DATE: 04/07/2016 ADDRESS: 9800 Shelard Parkway, Ste 330, Plymouth MN 55441, United States DESCRIPTION: Financial advisor, member 2) GERHARDSON, WARNER & WEHMHOFF CPAS, LTD. POSITION: VICE PRESIDENT NATURE: EMPLOYED ACCOUNTANT INVESTMENT RELATED: NO NUMBER OF HOURS: SECURITIES TRADING HOURS: START DATE: 01/01/2008 ADDRESS: 9800 Shelard Parkway Ste 330, Plymouth, MN 55441 DESCRIPTION: ACCOUNTANT 3) GMW CPA ADVISORS PLLC POSITION: CPA, member NATURE: Certified public accounting & tax INVESTMENT RELATED: No NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 01/01/2008 ADDRESS: 9800 Shelard Pkwy, Ste 330, Plymouth MN 55441, United States DESCRIPTION: Certified public accounting & tax

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-11-01
  • S66 Uniform Combined State Law Examination
    2007-11-01
Other Names
  • Mike Warner

View on SEC IAPD

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