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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
MN RA APPROVED 2023-06-29
TX RA APPROVED_RES 2023-06-29
  • MN RA
    APPROVED
    Since 2023-06-29
  • TX RA
    APPROVED_RES
    Since 2023-06-29

Branch Locations

Blaine, MN • United States

9145 Springbrook Drive Nw Suite 105B, Coon Rapids, MN 55433 • 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
Stein Financial Group,Llc Minneapolis MN 02/2011 04/2022
Voya Financial Advisors Minneapolis MN 09/2014 06/2021
Cetera Wealth Services, Llc El Segundo CA 06/2021 Present
Mullins Financial, Llc Blaine MN 10/2022 Present
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
  • 02/2011 → 04/2022
    Stein Financial Group,Llc
    Minneapolis, MN
  • 09/2014 → 06/2021
    Voya Financial Advisors
    Minneapolis, MN
  • 06/2021 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 10/2022 → Present
    Mullins Financial, Llc
    Blaine, MN
  • 06/2023 → Present
    Schaumburg, IL
Previous Registrations
  • 2013-11-01 → 2021-06-09
    Minneapolis, MN
    Lisle, IL
    Minneapolis, MN
    Columbus, OH
    Irvine, CA
    Tacoma, WA
    St Louis Park, MN
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: 10/2013; APX NUMBER OF HOURS PER WEEK: 10; APX NUMBER OF HOURS DURING TRADING HOURS: 10; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SALES OF FIXED INSURANCE PRODUCTS; 2) NAME OF OTHER BUSINESS: MULLINS FINANCIAL, LLC, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: EXPENSE MANAGEMENT, START DATE: 10/2022, POSITION/TITLE/RELATIONSHIP: OWNER, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: LLC FOR EXPENSE MANAGEMENT; 3) NAME OF OTHER BUSINESS: MULLINS FINANCIAL INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 02/05/2026 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: OFFERING SECURITIES, ADVISORY AND INSURANCE SERVICES; 4) NAME OF OTHER BUSINESS: NAIPC INVESTMENT RELATED: NO ADDRESS: 1400 16TH STREET, NW WASHING DC NATURE OF BUSINESS: BOARD START DATE: 7/1/2026 POSITION/TITLE/RELATIONSHIP: TREASURER APX NUMBER OF HOURS PER WEEK: 3 APX NUMBER OF HOURS DURING TRADING HOURS: 3 BRIEF DESCRIPTION OF DUTIES: RECORD KEEPING, BUDGETING AND COMPLIANCE.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2012-02-23
  • S66 Uniform Combined State Law Examination
    2012-02-23
Designations

View on SEC IAPD

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