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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
MO RA APPROVED 2023-06-29
  • MO RA
    APPROVED
    Since 2023-06-29

Branch Locations

303 N. Stadium Blvd Suite 200, Columbia, MO 65203 • 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
Voya Financial Advisors Columbia MO 09/2014 06/2021
Cetera Wealth Services, Llc El Segundo CA 06/2021 Present
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
  • 09/2014 → 06/2021
    Voya Financial Advisors
    Columbia, MO
  • 06/2021 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 06/2023 → Present
    Schaumburg, IL
Previous Registrations
Other Businesses

1. NAME OF ENTITY:Brian & Kelly Pulliam; Yes; 4410-4412 DERBY RIDGE DR; COLUMBIA; MO; 65202; Rental Properties; owner; 8/15/2000; 4; 4; Leasing and general maintenance of property 2. NAME OF ENTITY: Independent Insurance Agent; Yes; 3610 BUTTONWOOD DR STE 310; COLUMBIA; MO; 65201; Fixed Insurance Sales; Independent Insurance Agent; 12/30/2008; 160; 160; Sales of fixed insurance products 3. NAME OF ENTITY:Brian Pulliam; Yes; 4412 DERBY RIDGE DR; COLUMBIA; MO; 65202; Farming; Sole Proprietor-owner; 12/30/2008; 64; 64; sole proprietor-owner 4. NAME OF ENTITY: Farm lease; No; 3610 Buttonwood Dr., Ste 310; Columbia; MO; 65201; Wind Energy Project with TG High Prairie LLC to erect a Wind Turbine.; IAR; 8/26/2019; 0; 0; NO DUTIES

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-03-16
S63 Uniform Securities Agent State Law Examination 2000-06-10
  • S66 Uniform Combined State Law Examination
    2017-03-16
  • S63 Uniform Securities Agent State Law Examination
    2000-06-10

View on SEC IAPD

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