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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 2024-04-01
  • IL RA
    APPROVED
    Since 2024-04-01

Branch Locations

5435 Bull Valley Rd Suite 100, Mchenry, IL 60050 • 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
Integrity Financial Professionals, Inc. Mchenry IL 06/2023 Present
Village Of Round Lake Beach Round Lake Beach IL 03/2012 06/2021
Cetera Advisor Networks El Segundo CA 07/2021 06/2023
Cetera Wealth Services, Llc El Segundo CA 06/2023 Present
Cetera Investment Advisers Llc Schaumburg IL 04/2024 Present
  • 06/2023 → Present
    Integrity Financial Professionals, Inc.
    Mchenry, IL
  • 03/2012 → 06/2021
    Village Of Round Lake Beach
    Round Lake Beach, IL
  • 07/2021 → 06/2023
    Cetera Advisor Networks
    El Segundo, CA
  • 06/2023 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 04/2024 → Present
    Schaumburg, IL
Other Businesses

1. NAME OF OTHER BUSINESS: NOTARY PUBLIC SERVICE INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: ADMINISTRATIVE SUPPORT INCLUDING FORM CREATION, ANSWERING PHONES, FILING, ETC. PROVIDE NOTARY PUBLIC SERVICES TO CLIENTS, PROSPECTS, FAMILY OR FRIENDS IF NEEDED. POSITION/TITLE/RELATIONSHIP: NON-REGISTERED OFFICE ASSISTANT TO VICKI NIELSEN START DATE: 12/2021 APX NUMBER OF HOURS PER WEEK: 0 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: PROVIDE NOTARY PUBLIC SERVICE TO CLIENTS, PROSPECTS, FAMILY OR FRIENDS; 2. NAME OF OTHER BUSINESS: INTEGRITY FINANCIAL PROFESSIONALS, INC. INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: INVESTMENT ADVISING AND FIXED INSURANCE PRODUCTS POSITION/TITLE/RELATIONSHIP: CURRENTLY IT IS NON-REGISTERED OFFICE ASSISTANT TO VICKI NIELSEN, BUT WILL CHANGE TO REGISTERED OFFICE ASSISTANT TO VICKI NIELSEN START DATE: 7/2023 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: ADMINISTRATIVE SUPPORT INCLUDING FORM CREATION, ANSWERING PHONES, FILING, ETC.; 3. NAME OF OTHER BUSINESS: WINGS; INVESTMENT RELATED: NO; ADDRESS: 1307 N GREEN ST, MCHENRY, IL 60050; NATURE OF BUSINESS: BOARD; START DATE: 1/2022; POSITION/TITLE/RELATIONSHIP: VOLUNTEER COMMITTEE MEMBER; APX NUMBER OF HOURS PER WEEK: LESS THAN 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: HELP PLAN MEETING TOPICS AND FACILITATE MEETINGS AS REQUIRED 4. NAME OF OTHER BUSINESS: MCHENRY CHAMBER OF COMERCE; INVESTMENT RELATED: NO; ADDRESS: 1307 N GREEN ST, MCHENRY, IL 60050; NATURE OF BUSINESS: BOARD; START DATE: 1/2024; POSITION/TITLE/RELATIONSHIP: AMBASSADOR; APX NUMBER OF HOURS PER WEEK: LESS THAN 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: ASSIST NEW MCHENRY CHAMBER MEMBERS WITH NAVIGATING THEIR NEW RELATIONSHIP AND MEMBERSHIP WITH THE CHAMBER; 5. NAME OF OTHER BUSINESS: BUSINESS BEFORE BREAKFAST - A FOX VALLEY NETWORKING GROUP, INVESTMENT RELATED: NO, ADDRESS: 765 DUFFY DRIVE, CRYSTAL LAKE, IL 60014,, NATURE OF BUSINESS: NETWORKING, START DATE: 04/2025, POSITION/TITLE/RELATIONSHIP: VICE PRESIDENT, APX NUMBER OF HOURS PER WEEK: 2, APX NUMBER OF HOURS DURING TRADING HOURS: .5, BRIEF DESCRIPTION OF DUTIES: SUPPORTING ROLE TO THE PRESIDENT AND STEPS IN WHEN THE PRESIDENT IS UNAVAILABLE, PROVIDES AN ICEBREAKER AT EACH MEETING AND OVERSEES SPECIFIC PROJECTS OR INITIATIVES AS DELEGATED.;

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2024-02-27
S63 Uniform Securities Agent State Law Examination 2023-09-07
  • S65 Uniform Investment Adviser Law Examination
    2024-02-27
  • S63 Uniform Securities Agent State Law Examination
    2023-09-07
Other Names
  • Kariann Noel Hill

View on SEC IAPD

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