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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
DE RA APPROVED 2023-08-10
TX RA APPROVED 2023-08-10
  • DE RA
    APPROVED
    Since 2023-08-10
  • TX RA
    APPROVED
    Since 2023-08-10

Branch Locations

900 Prides Crossing, Newark, DE 19713 • 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
Minnesota Life Insurance Co Usa MN 11/2011 08/2023
Diamond State Financial Group Newark DE 10/2011 Present
Securian Financial Services Inc St Paul MN 11/2011 08/2023
Cetera Wealth Services, Llc Newark DE 08/2023 Present
Cetera Investment Advisers Llc Schaumburg IL 08/2023 Present
  • 11/2011 → 08/2023
    Minnesota Life Insurance Co
    Usa, MN
  • 10/2011 → Present
    Diamond State Financial Group
    Newark, DE
  • 11/2011 → 08/2023
    Securian Financial Services Inc
    St Paul, MN
  • 08/2023 → Present
    Cetera Wealth Services, Llc
    Newark, DE
  • 08/2023 → Present
    Schaumburg, IL
Previous Registrations
  • 2012-02-02 → 2023-08-10
    Securian Financial Services, Inc.
    Newark, DE
    St. Paul, MN
Other Businesses

1. AUTHOR POSITION: Independent Contractor NATURE: Author INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 12/01/2018 ADDRESS: , Wilmington DE , United States DESCRIPTION: Independent Contractor 2. DSFG FIXED INSURANCE POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 07/14/2016 ADDRESS: , Newark DE , United States DESCRIPTION: Agent/Broker 3. DSFG REAL ESTATE HOLDINGS, LLC POSITION: Member NATURE: commercial real estate INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 06/15/2022 ADDRESS: 419 harrison drive, hockessin DE 19707, United States DESCRIPTION: ownership stakein new building that DSFG is purchasing 4. NDREW BAKER - TRADING CARD SALES POSITION: Owner NATURE: selling sports trading cards on ebay INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2020 ADDRESS: 2381 Dombey Rd, Wilmington DE 19808, United States DESCRIPTION: I buy and sell sports trading cards on eBay. 5. NAME OF OTHER BUSINESS: DIAMOND STATE FINANCIAL GROUP; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: INSURANCE, SECURITIES AND ADVISORY SERVICES; START DATE: 08/2023; POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: SECURITIES AND ADVISORY SERVICES; 6. NAME OF OTHER BUSINESS: LIL' BABY, LLC; INVESTMENT RELATED: NO; ADDRESS: SAME AS RESIDENTIAL LOCATION; NATURE OF BUSINESS: HOLDING COMPANY; START DATE: 10/2025; POSITION/TITLE/RELATIONSHIP: MEMBER; APX NUMBER OF HOURS PER WEEK: 0; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: HOLDING COMPANY FOR PERSONAL INVESTMENT;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2012-01-26
  • S66 Uniform Combined State Law Examination
    2012-01-26
Designations

View on SEC IAPD

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