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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 2023-06-29
TX RA APPROVED 2023-06-29
  • IL RA
    APPROVED
    Since 2023-06-29
  • TX RA
    APPROVED
    Since 2023-06-29

Branch Locations

201 S Walnut Ste 300, Rochester, IL 62563 • 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
Cetera Wealth Services, Llc El Segundo CA 01/2013 Present
Gba Financial Rochester IL 05/2016 Present
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
  • 01/2013 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 05/2016 → Present
    Gba Financial
    Rochester, IL
  • 06/2023 → Present
    Schaumburg, IL
Other Businesses

1. FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED, SAME AS REGISTERED ADDRESS, FIXED INSURANCE, START 11/19/2014, 2HRS/WK (TRADING HOURS), INSURANCE AGENT - SELLS LIFE, HEALTH, DISABILITY, ANNUITIES, AND LONG-TERM CARE; 2. NAME OF OTHER BUSINESS: DBA GBA FINANCIAL INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 05/01/2016 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: 40 HOURS APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: TAX PREPARATION & SELLING OF INSURANCE. 3. NOTARY, NOT INVESTMENT RELATED, SAME AS REGISTERED LOCATION, NOTARY, STARTED 05/2015, HOUR PER WEEK VARY, PROVIDE NOTARIZATIONS FOR CLIENTS AS ADDED SERVICE. 4. NAME OF OTHER BUSINESS: PAUL & JENNY FOSTER, INVESTMENT RELATED: NO, ADDRESS: 217 W FREDERICK ST, ARENZVILLE, IL 62611, NATURE OF BUSINESS: REAL ESTATE, START DATE: 10/2024, POSITION/TITLE/RELATIONSHIP: OWNER, APX NUMBER OF HOURS PER WEEK: 1, NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: PLANNING TO RENT OUT THE SPACE. RESPONSIBLE FOR REPAIRS, ETC.;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-02-26
  • S66 Uniform Combined State Law Examination
    2009-02-26
Designations
Other Names
  • Jenny Lorene Kleinschmidt

View on SEC IAPD

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