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Employer firm

Cetera Investment Advisers LLC CRD 105644

$257B regulatory AUM 24,019 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers
Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

AuthorityCategoryStatusDate
KS RA APPROVED 2024-03-21
  • KS RA
    APPROVED
    Since 2024-03-21

Branch Locations

10955 Lowell Avenue Ste 920, Overland Park, KS 66210 • United States

10955 Lowell Ave Ste 900, 910, 920, 100, & 200, Overland Park, KS 66210 • 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
Bank Of Blue Valley Overland Park KS 04/2004 Present
Invest Financial Corp Overland Park KS 04/2004 Present
Cetera Advisors Llc St Cloud MN 01/2013 Present
Cetera Investment Advisers Llc Schaumburg IL 03/2024 Present
  • 04/2004 → Present
    Bank Of Blue Valley
    Overland Park, KS
  • 04/2004 → Present
    Invest Financial Corp
    Overland Park, KS
  • 01/2013 → Present
    Cetera Advisors Llc
    St Cloud, MN
  • 03/2024 → Present
    Schaumburg, IL
Previous Registrations
  • 2004-04-28 → 2006-11-22
    Invest Financial Corporation
    Leawood, KS
    Leawood, KS
  • 2003-04-04 → 2004-04-21
    Msi Financial Services, Inc.
    Overland Park, KS
  • 2000-08-02 → 2003-04-15
    Waddell & Reed
    Overland Park, KS
Other Businesses

1.NAME OF OTHER BUSINESS: ZSCHOCHE FINANCIAL PLANNING; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 11/2006; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 50-60; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 2.NAME OF OTHER BUSINESS: ZSCHOCHE FARMS, INC.; INVESTMENT RELATED: NO; ADDRESS: SAME AS RESIDENTIAL LOCATION; NATURE OF BUSINESS: FARMING; START DATE: 1/2025; POSITION/TITLE/RELATIONSHIP: OWNER/PRESIDENT/TREASURER; APX NUMBER OF HOURS PER WEEK: VARIES; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES; BRIEF DESCRIPTION OF DUTIES: KEEP BOOKS, BALANCE ACCOUNTS, PAY BILLS, PREPARE RECORDS FOR TAX FILING; 3.ZSCHOCHE FAMILY FARMS, DIRCTOR-SECRETARY TREASURER, NOT INVESTMENT RELATED; 9638 REBUD LN, LENEXA, KS 6220; FARMING' 1990 START; MINIMAL HOURS' RECORD KEEPING, PAYING BILLS.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2000-07-20
  • S66 Uniform Combined State Law Examination
    2000-07-20
Designations
  • Certified Financial Planner
Other Names
  • Pamela Mahan

View on SEC IAPD

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