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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
  • DE RA
    APPROVED
    Since 2023-08-10

Branch Locations

900 Prides Crossing, Newark, DE 19713 • 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
Minnesota Life Insurance Co St. Paul MN 05/2007 08/2023
Securian Financial Services, Inc St. Paul MN 05/2007 08/2023
Diamond State Financial Group Newark DE 05/2007 Present
Cetera Wealth Services, Llc Newark DE 08/2023 Present
Cetera Investment Advisers Llc Schaumburg IL 08/2023 Present
  • 05/2007 → 08/2023
    Minnesota Life Insurance Co
    St. Paul, MN
  • 05/2007 → 08/2023
    Securian Financial Services, Inc
    St. Paul, MN
  • 05/2007 → Present
    Diamond State Financial Group
    Newark, DE
  • 08/2023 → Present
    Cetera Wealth Services, Llc
    Newark, DE
  • 08/2023 → Present
    Schaumburg, IL
Previous Registrations
  • 2007-08-03 → 2023-08-10
    Securian Financial Services, Inc.
    Newark, DE
    St. Paul, MN
Other Businesses

1 DSFG FIXED INSURANCE POSITION: Owner NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 07/14/2016 ADDRESS: 121 Continental Dr Suite 110, Newark DE 19713, United States DESCRIPTION: as a part of financial planning, offer appropriate insurance products to clients - health, disability, long term care, and group business; 2. DSFG REAL ESTATE HOLDINGS, LLC POSITION: Partner NATURE: Commercial Real Estate INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 07/01/2022 ADDRESS: 419 Harrison Dr., Hockessin DE 19707, United States DESCRIPTION: For a new building to house Diamond state Financial Group. DSFG will be the sole tenant, paying rent to the LLC; 3. NAME OF OTHER BUSINESS: DSFG CARES; INVESTMENT RELATED: NO; ADDRESS: 900 PRIDES CROSSING, NEWARK, DE 19713; NATURE OF BUSINESS: BOARD; START DATE: 11/2023; POSITION/TITLE/RELATIONSHIP: VICE PRESIDENT; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: VOTE ON CHARITABLE INITIATIVES FOR THE YEAR, HELP BRAINSTORM AREA ORGANIZATIONS TO DONATE MONEY; 4. 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: 8/2023, 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; 5. NAME OF OTHER BUSINESS: DELAWARE INSURANCE COMMISSIONER AGENT ADVISORY BOARD; INVESTMENT RELATED: NO; ADDRESS: 1351 WEST NORTH STREET, SUITE 101, DOVER, DE 19904; NATURE OF BUSINESS: BOARD; START DATE: 1/2024; POSITION/TITLE/RELATIONSHIP: CHAIR; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: MEET QUARTERLY WITH OTHER AGENTS AND THE DELAWARE DEPARTMENT OF INSURANCE TO DISCUSS NEW LEGISLATION AND HOW IT MIGHT AFFECT INSURANCE CLIENTS AND THE GENERAL PUBLIC;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-07-13
  • S66 Uniform Combined State Law Examination
    2007-07-13
Other Names
  • Josh Shaver

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