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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
TX RA APPROVED_RES 2025-07-18
IA RA APPROVED 2023-08-10
  • TX RA
    APPROVED_RES
    Since 2025-07-18
  • IA RA
    APPROVED
    Since 2023-08-10

Branch Locations

304 N Maryville St, Calmar, IA 52132 • 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
Securian Financial Services, Inc St Paul MN 10/2011 08/2023
Securian Advisors Of Mid America Hiawatha IA 10/2011 Present
Minnesota Life Ins Co St Paul MN 10/2011 08/2023
Cetera Wealth Services, Llc Calmar IA 08/2023 Present
Cetera Investment Advisers Llc Schaumburg IL 08/2023 Present
Guide Wealth Partners Hiawatha IA 08/2023 Present
Ac Development Llc Hiawatha IA 05/2014 Present
  • 10/2011 → 08/2023
    Securian Financial Services, Inc
    St Paul, MN
  • 10/2011 → Present
    Securian Advisors Of Mid America
    Hiawatha, IA
  • 10/2011 → 08/2023
    Minnesota Life Ins Co
    St Paul, MN
  • 08/2023 → Present
    Cetera Wealth Services, Llc
    Calmar, IA
  • 08/2023 → Present
    Schaumburg, IL
  • 08/2023 → Present
    Guide Wealth Partners
    Hiawatha, IA
  • 05/2014 → Present
    Ac Development Llc
    Hiawatha, IA
Previous Registrations
  • 2011-10-27 → 2023-08-10
    Securian Financial Services, Inc.
    Cedar Rapids, IA
    Cedar Rapids, IA
    Calmar, IA
    St. Paul, MN
Other Businesses

1. FITNESS INSTRUCTOR POSITION: Independent Contractor NATURE: Trainer/Teacher INVESTMENT RELATED: No NUMBER OF HOURS: 12 SECURITIES TRADING HOURS: 0 START DATE: 03/01/2018 ADDRESS: , Calmar IA , United States DESCRIPTION: Independent Contractor 2. NOTARY PUBLIC POSITION: Independent Contractor NATURE: Notary Public INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 06/01/2007 ADDRESS: , Calmar IA , United States DESCRIPTION: Independent Contractor 3. SAMA FIXED INSURANCE POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 09/25/2019 ADDRESS: , Hiawatha IA , United States DESCRIPTION: Agent/Broker 4. ST. ALOYSIUS CHURCH POSITION: Member NATURE: Board Member INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 11/01/2020 ADDRESS: 107 E South St, PO Box 819, Calmar IA 52132, United States DESCRIPTION: parish council member for the church. 5. WILTGEN FINANCIAL SERVICES POSITION: Owner NATURE: DBA INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 10/01/2011 ADDRESS: 113 W Main St, Calmar IA 52132, United States DESCRIPTION: Financial Services DBA 6. PARAMOUNT INSURANCE GROUP POSITION: Owner NATURE: Business Owner INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2023 ADDRESS: 534 2nd Ave, Cresco IA 52136, United States DESCRIPTION: This entity will hold all of our group and individual health clients (plus over age 65) and our commercial and personal lines of insurance; 7. NAME OF OTHER BUSINESS: SPORT OFFICIATING; INVESTMENT RELATED: NO; ADDRESS: SAME AS RESIDENTIAL LOCATION; NATURE OF BUSINESS: SPORT OFFICIATING START DATE: 10/2000; POSITION/TITLE/RELATIONSHIP: OFFICIAL; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: REFEREE BASKETBALL; 8. NAME OF OTHER BUSINESS: GUIDE WEALTH PARTNERS; INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL 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: DBA FOR FINANCIAL SERVICES; 9. NAME OF OTHER BUSINESS: AC DEVELOPMENT LLC INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: RENTAL PROPERTY START DATE: 5/2014; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: LANDLORD AND MANAGEMENT. PAY BILLS;

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2011-10-18
S63 Uniform Securities Agent State Law Examination 2011-02-15
  • S65 Uniform Investment Adviser Law Examination
    2011-10-18
  • S63 Uniform Securities Agent State Law Examination
    2011-02-15
Other Names
  • Nicole Marie Cathman

View on SEC IAPD

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