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Cetera Investment Advisers LLC CRD 105644
$257B regulatory AUM 24,019 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2023-08-10 |
Branch Locations
3030 Lbj Fwy Ste 1450, Dallas, TX 75234 • United States
Frisco, TX • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Securian Financial Services, Inc. | St. Paul | MN | 10/2007 | 12/2017 |
| Minnesota Life Insurance Company | St. Paul | MN | 10/2007 | 12/2017 |
| Midland Retirement Distributors | West Des Moines | IA | 12/2017 | 04/2019 |
| Sammons Financial Network | West Des Moines | IA | 01/2018 | 04/2019 |
| Minnesota Life Insurance Company | St Paul | MN | 05/2019 | 08/2023 |
| Securian Financial Services Inc. | St Paul | MN | 05/2019 | 08/2023 |
| Martin Financial Mfg Llc | Dallas | TX | 05/2019 | Present |
| Cetera Wealth Services, Llc | Dallas | TX | 08/2023 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 08/2023 | Present |
| Waam, Llc Dba Three Embers Grappling Academy | Waam, Llc Dba Three Embers Grappling Academy | TX | 04/2024 | Present |
1. MARTIN FIXED INSURANCE POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 05/01/2019 ADDRESS: , Dallas TX , United States DESCRIPTION: Agent/Broker 2. NAME OF OTHER BUSINESS: WAAM, LLC DBA THREE EMBERS GRAPPLING ACADEMY; INVESTMENT RELATED: NO; ADDRESS: 320 INDUSTRIAL BLVD, STE 206, MCKINNEY, TX 75069; NATURE OF BUSINESS: MARTIAL ARTS GYM; START DATE: 4/2024 POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 20; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: COACH FOR JIU JITSU AND FITNESS CLASSES; 3. JIU JITSU COACHING POSITION: Volunteer NATURE: Sport Coach/Referee INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 0 START DATE: 11/19/2019 ADDRESS: 320 Industrial Blvd, Unit 204, McKinney TX 75069, United States DESCRIPTION: Volunteer coach for Jiu Jitsu and fitness classes. 4. WE DEFY FOUNDATION POSITION: Volunteer NATURE: Board Member INVESTMENT RELATED: No NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 0 START DATE: 11/25/2019 ADDRESS: 320 Industrial Blvd, Suite 204, McKinney TX 75069, United States DESCRIPTION: Treasurer for a non-profit foundation benefiting combat disabled veterans.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2019-06-10 |
| S63 | Uniform Securities Agent State Law Examination | 2007-11-05 |
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