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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
IN RA APPROVED 2025-09-05
  • IN RA
    APPROVED
    Since 2025-09-05

Branch Locations

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Avantax Planning Partners, Inc.

210 Jones St Ste. 104, Dubuque, IA 52001 • United States

Current Registrations

AuthorityCategoryStatusDate
IN RA APPROVED 2025-05-06
  • IN RA
    APPROVED
    Since 2025-05-06

Branch Locations

Evansville, IN • United States

210 Jones St Ste. 104, Dubuque, IA 52001 • 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
Hilliard Lyons Evansville IN 05/2011 06/2018
J.J.B.HIlliard W L Lyons Evansville IN 09/2017 06/2018
Jjb Hilliard Wl Lyons Llc Louisville KY 06/2018 10/2019
R W Baird Evansville IN 10/2019 02/2020
Facet Wealth Evansville IN 02/2020 07/2022
None Evansville IN 08/2022 09/2022
Harding Shymanski And Co Evansville IN 09/2022 12/2022
Avantax Investment Services, Inc Evansville IN 12/2022 Present
Avantax Advisory Services Evansville IN 12/2022 Present
University Of Evansville Evansville IN 07/2024 Present
Avantax Planning Partners, Inc. Evansville IN 12/2022 Present
Cetera Wealth Services, Llc El Segundo CA 09/2025 Present
Cetera Investment Advisers Llc Schaumburg IL 09/2025 Present
  • 05/2011 → 06/2018
    Hilliard Lyons
    Evansville, IN
  • 09/2017 → 06/2018
    J.J.B.HIlliard W L Lyons
    Evansville, IN
  • 06/2018 → 10/2019
    Jjb Hilliard Wl Lyons Llc
    Louisville, KY
  • 10/2019 → 02/2020
    R W Baird
    Evansville, IN
  • 02/2020 → 07/2022
    Facet Wealth
    Evansville, IN
  • 08/2022 → 09/2022
    None
    Evansville, IN
  • 09/2022 → 12/2022
    Harding Shymanski And Co
    Evansville, IN
  • 12/2022 → Present
    Avantax Investment Services, Inc
    Evansville, IN
  • 12/2022 → Present
    Avantax Advisory Services
    Evansville, IN
  • 07/2024 → Present
    University Of Evansville
    Evansville, IN
  • 12/2022 → Present
    Evansville, IN
  • 09/2025 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 09/2025 → Present
    Schaumburg, IL
Previous Registrations
  • 2023-04-13 → 2025-09-05
    Avantax Advisory Services
    Dallas, TX
    Evansville, IN
  • 2020-02-10 → 2022-07-29
    Evansville, IN
    West Palm Beach, FL
  • 2019-10-18 → 2020-02-28
    Evansville, IN
    Louisville, KY
  • 2011-05-31 → 2019-10-18
    J.J.B. Hilliard, W.L. Lyons, Llc
    Evansville, IN
    Louisville, KY
  • 2009-12-04 → 2010-08-03
    Fort Mill, SC
    Evansville, IN
    Mt Vernon, IN
    Evansville, IN
  • 2005-11-30 → 2009-12-02
    Invest Financial Corporation
    Mount Vernon, IN
    Evansville, IN
    Evansville, IN
  • 2005-07-14 → 2005-12-01
    Onb Investment Services, Inc.
    Evansville, IN
Other Businesses

1) OPERATION HOMEFRONT AND/OR HOMES FOR OUR TROOPS, NON INVEST-RELATED, 6 MAIN ST., TAUNTON, MA 02780, FPA PRO BONO-FREE NO STRINGS FINANCIAL PLANNING INFORMATION AND EDUCATION TO VETERANS, VOLUNTEER, 9/2013, 10 HRS/MONTH AND 0 HRS/MONTH DURING TRADING HRS, DUTIES INCLUDE WORKING WITH VETERANS ON BASIC BUDGET TECHNIQUES AND FINANCIAL LITERACY SKILLS (ESPECIALLY RELATED TO HELPING VETERANS OBTAIN A HOME ONCE STATESIDE). 2) ARK CRISIS CHILDREN'S CENTER POSITION: Advisor to the board NATURE: Coaching and mentoring new board members in fund raising and public speaking INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 04/01/2023 ADDRESS: 415 Lincoln Ave, Evansville IN 47714, United States DESCRIPTION: This is an as needed advisor role as new emerging leaders are added to the board. My role is to share my success in public speaking and past success with fund raising 3) CFP BOARD POSITION: Mentor NATURE: Mentor for individuals preparing for the CFP exam INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 04/01/2023 ADDRESS: 1425 K Street NW., #800, Washington DC 20005, United States DESCRIPTION: Mentor 4) UNIVERSITY OF EVANSVILLE POSITION: DEIB Board Member NATURE: I will be joining the DEIB board at University of Evansville aimed at attracting more female students into Finance and Accounting. INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 1 START DATE: 07/01/2024 ADDRESS: 1800 Lincoln Ave, Evansville IN 47722, United States DESCRIPTION: Activities will include attending board meetings, speaking with current and prospective students about careers in our industry, and promoting financial literacy among the student population.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-07-13
S63 Uniform Securities Agent State Law Examination 2000-06-21
  • S66 Uniform Combined State Law Examination
    2005-07-13
  • S63 Uniform Securities Agent State Law Examination
    2000-06-21
Designations
Other Names
  • Emily Christin Carter

View on SEC IAPD

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