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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 2023-08-10
TX RA APPROVED_RES 2023-08-10
  • MO RA
    APPROVED
    Since 2023-08-10
  • TX RA
    APPROVED_RES
    Since 2023-08-10

Branch Locations

5700 Oakland Ave Ste 400, St Louis, MO 63110 • 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
Securian Financial Services, Inc St Paul MN 07/2011 08/2023
Renaissance Financial St Louis MO 07/2011 Present
Minnesota Life Insurance Company St Paul MN 07/2011 08/2023
Cetera Wealth Services, Llc St. Louis MO 08/2023 Present
Cetera Investment Advisers Llc Schaumburg IL 08/2023 Present
  • 07/2011 → 08/2023
    Securian Financial Services, Inc
    St Paul, MN
  • 07/2011 → Present
    Renaissance Financial
    St Louis, MO
  • 07/2011 → 08/2023
    Minnesota Life Insurance Company
    St Paul, MN
  • 08/2023 → Present
    Cetera Wealth Services, Llc
    St. Louis, MO
  • 08/2023 → Present
    Schaumburg, IL
Previous Registrations
  • 2011-11-07 → 2023-08-10
    Securian Financial Services, Inc.
    St. Louis, MO
    St. Paul, 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: July 2011 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SALES OF FIXED INSURANCE PRODUCTS 2. NAME OF OTHER BUSINESS: RENAISSANCE FINANCIAL INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: July 2011 POSITION/TITLE/RELATIONSHIP: Financial Advisor APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: OFFER SECURITIES, INSURANCE AND ADVISORY SERVICES 3. REGIONAL BUSINESS COUNCIL YOUNG PROFESSIONALS POSITION: Member NATURE: Volunteer/Community Outreach INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 09/01/2013 ADDRESS: , St Louis MO , United States DESCRIPTION: Member 4. MISSOURI BOTANICAL GARDEN SUBDISTRICT COMMITTEE POSITION: Member NATURE: Volunteer/Community Outreach INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 05/01/2020 ADDRESS: 4344 Shaw Blvd.,, Saint Louis MO 63110, United States DESCRIPTION: Community involvement organization to protect and maintain the local botanical gardens 5. PERSONAL FINANCIAL PLANNING ADVISORY BOARD POSITION: Advisory Board NATURE: Volunteer/Community Outreach INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2022 ADDRESS: 135 Mumford Hall, Columbia MO 65211, United States DESCRIPTION: Board member of the Personal Financial Planning advisor Board 6. KWAME BUILDING GROUP POSITION: Advisory Board NATURE: Board Member INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2018 ADDRESS: 1204 Washington Avenue, Suite 200, St. Louis MO 63103, United States DESCRIPTION: KWAME Building Group is recognized as a preeminent Construction Management firm. As a board member, my role is to review operations, budget, projections on growth and serve as an advisory role to the business. 7. FOREST PARK FOREVER POSITION: Director NATURE: Board Member INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2022 ADDRESS: 5595 Grand Dr, Saint Louis MO 63112, United States DESCRIPTION: Forest Park Forever is a private nonprofit conservancy that works in partnership with the City of St. Louis and the Department of Parks, Recreation and Forestry to restore, maintain and sustain Forest Park, as one of America's great urban public parks for a diverse community of visitors to enjoy, now and forever. 8. NAME OF OTHER BUSINESS: COLLEGE BOUND; INVESTMENT RELATED: NO; ADDRESS: 110 N JEFFERSON AVE ST. LOUIS, MO 63103; NATURE OF BUSINESS: NON PROFIT; START DATE: 10/2024; POSITION/TITLE/RELATIONSHIP: VICE CHAIR; APX NUMBER OF HOURS PER WEEK: 0.5; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: REVIEW, EVALUATE DIRECTORS PERFORMANCE, ORGANIZATION AND STAFF OBJECTIVE, PRESENT BOARD WITH TOPICS TO DISCUSS, VOTE ON;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2011-10-18
  • S66 Uniform Combined State Law Examination
    2011-10-18
Designations
Other Names
  • Kristin Thompson
  • Kristin Nicole Thompson
  • Kristin Nicole Poelker

View on SEC IAPD

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