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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 2023-08-10
  • MN RA
    APPROVED
    Since 2023-08-10

Branch Locations

2701 University Ave Se, Minneapolis, MN 55414 • 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
Ameriprise Financial Services, Inc. St Louis MO 12/2007 06/2017
Securian Financial Services Inc. St. Paul MN 01/2018 08/2023
North Star Minneapolis MN 01/2018 Present
Unemployed Na MO 06/2017 12/2017
Cri Securities Llc St. Paul MN 01/2018 10/2021
Cetera Wealth Services, Llc Minneapolis MN 08/2023 Present
Cetera Investment Advisers Llc Schaumburg IL 08/2023 Present
North Star Resource Group Minneapolis MN 08/2023 Present
  • 12/2007 → 06/2017
    Ameriprise Financial Services, Inc.
    St Louis, MO
  • 01/2018 → 08/2023
    Securian Financial Services Inc.
    St. Paul, MN
  • 01/2018 → Present
    North Star
    Minneapolis, MN
  • 06/2017 → 12/2017
    Unemployed
    Na, MO
  • 01/2018 → 10/2021
    Cri Securities Llc
    St. Paul, MN
  • 08/2023 → Present
    Cetera Wealth Services, Llc
    Minneapolis, MN
  • 08/2023 → Present
    Schaumburg, IL
  • 08/2023 → Present
    North Star Resource Group
    Minneapolis, MN
Previous Registrations
  • 2018-02-08 → 2023-08-10
    Securian Financial Services, Inc.
    Minneapolis, MN
    St. Paul, MN
  • 2018-02-08 → 2021-10-20
    Cri Securities, Llc
    Minneapolis, MN
  • 2011-06-30 → 2017-06-02
    Saint Louis, MO
    Manchester, MO
Other Businesses

1) NAME OF OTHER BUSINESS: NORTH STAR RESOURCE GROUP, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 08/2023, POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 1, APX NUMBER OF HOURS DURING TRADING HOURS: 1, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-03-03
  • S66 Uniform Combined State Law Examination
    2008-03-03
Other Names
  • Shannon Jean Mcginty
  • Shannon Jean Mc Ginty

View on SEC IAPD

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