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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
TX RA APPROVED_RES 2012-01-05
IL RA APPROVED 2008-03-05
  • TX RA
    APPROVED_RES
    Since 2012-01-05
  • IL RA
    APPROVED
    Since 2008-03-05

Branch Locations

17075 South Park, South Holland, IL 60473 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Cetera Financial Specialists Llc Schaumburg IL 02/2008 Present
Cetera Investment Advisers Llc Schaumburg IL 02/2008 Present
Previous Registrations
Other Businesses

1) RECEIVE RENEWALS/TRAILS ON LTC INSURANCE, FIXED/TERM LIFE INSURANCE, FIXED ANNUITIES, NOT INV REL, 17075 SOUTH PARK AVE SOUTH HOLLAND IL, SINCE 1/2008, SALES 5 HRS/WK: 2) STEPPING STONE FINANCIAL INC, DBA NAME FOR INVESTMENT PRACTICE- INV RELATED: 3)NAME OF OTHER BUSINESS: LIONS CLUB' INVESTMENT RELATED: NO; ADDRESS: 443 E 157TH ST, SOUTH HOLLAND, IL 60473; NATURE OF BUSINESS: SERVICE ORGANIZATION; START DATE: 12/2022; POSITION/TITLE/RELATIONSHIP: MEMBER; APX NUMBER OF HOURS PER WEEK: LESS THAN 1; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1; BRIEF DESCRIPTION OF DUTIES: ATTEND MEETINGS AND VOLUNTEER SERVICES; 4)NAME OF OTHER BUSINESS: FAMILY LIFE CHRISTIAN PRESCHOOL & DAYCARE; INVESTMENT RELATED: NO; ADDRESS: 15924 S PARK AVE, SOUTH HOLLAND, IL 60473; NATURE OF BUSINESS: SERVICE; START DATE: 12/2022; POSITION/TITLE/RELATIONSHIP: VICE PRESIDENT; APX NUMBER OF HOURS PER WEEK: LESS THAN 1; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1; BRIEF DESCRIPTION OF DUTIES: BOARD OF DIRECTORS VOTE, REVIEW FINANCIALS; 5) NAME OF OTHER BUSINESS: BETHSHAN ASSOCIATION' INVESTMENT RELATED: NO; ADDRESS: 12921 MONITOR AVE, PALOS HEIGHTS, IL 60463; NATURE OF BUSINESS: SERVICE; START DATE: 12/2022; POSITION/TITLE/RELATIONSHIP: TREASURER; APX NUMBER OF HOURS PER WEEK: LESS THAN 1; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1; BRIEF DESCRIPTION OF DUTIES: 1 OF 2 REQUIRED BANK SIGNERS, REVIEW FINANICALS;

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2000-10-18
S63 Uniform Securities Agent State Law Examination 2000-05-26
  • S65 Uniform Investment Adviser Law Examination
    2000-10-18
  • S63 Uniform Securities Agent State Law Examination
    2000-05-26

View on SEC IAPD

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