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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
IL RA APPROVED 2024-03-21
TX RA APPROVED_RES 2024-03-21
  • IL RA
    APPROVED
    Since 2024-03-21
  • TX RA
    APPROVED_RES
    Since 2024-03-21

Branch Locations

1928 West Fulton #3, Chicago, IL 60612 • United States

1200 Harger Road Suite 325, Oak Brook, IL 60523 • United States

15321 S 94Th Ave Ste 100, Orland Park, IL 60462 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Transamerica Financial Advisors, Inc Naperville IL 04/2008 05/2019
Cetera Advisors Llc Denver CO 05/2019 Present
Megent Financial Orland Park IL 05/2019 Present
Cetera Investment Advisers Llc Schaumburg IL 03/2024 Present
  • 04/2008 → 05/2019
    Transamerica Financial Advisors, Inc
    Naperville, IL
  • 05/2019 → Present
    Cetera Advisors Llc
    Denver, CO
  • 05/2019 → Present
    Megent Financial
    Orland Park, IL
  • 03/2024 → Present
    Schaumburg, IL
Other Businesses

1. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FIXED INSURANCE, START DATE:10/2020, APX NUMBER OF HOURS PER WEEK: VARIES, APX NUMBER OF HOURS DURING TRADING HOURS: VARIES, POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT , BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, AND FIXED ANNUITIES; 2.NAME OF OTHER BUSINESS: MEGENT FINANCIAL; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 05/2019; POSITION/TITLE/RELATIONSHIP: REGISTERED REP; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: FINANCIAL SERVICES; 3. NAME OF OTHER BUSINESS: P. DEIMLING CONSULTING, INC.; INVESTMENT RELATED: YES; ADDRESS: SAME AS RESIDENTIAL LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 05/2019; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 5; APX NUMBER OF HOURS DURING TRADING HOURS: 5; BRIEF DESCRIPTION OF DUTIES: SECURITIES DBA FOR FINACIAL SERVICES;

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2020-06-08
S63 Uniform Securities Agent State Law Examination 2008-02-01
  • S65 Uniform Investment Adviser Law Examination
    2020-06-08
  • S63 Uniform Securities Agent State Law Examination
    2008-02-01

View on SEC IAPD

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