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One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2025-10-06 |
| NY | RA | APPROVED | 2025-08-05 |
| NJ | RA | APPROVED | 2025-05-07 |
Branch Locations
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Cetera Investment Services | Saint Cloud | MN | 03/2013 | 04/2025 |
| Cetera Investment Advisers Llc | New York | NY | 01/2014 | 04/2025 |
| Wells Fargo Clearing Services, Llc | New York | NY | 04/2025 | Present |
RENTAL PROPERTY; INV RELATED; JERSEY CITY, NJ; 100% OWNERSHIP WITH SPOUSE; 04/2006; 1 HOUR PER MONTH; 0 DURING TRADING; RENTAL
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2025-08-04 |
| S66 | Uniform Combined State Law Examination | 2007-04-21 |
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