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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 2024-03-21
  • IL RA
    APPROVED
    Since 2024-03-21

Branch Locations

5871 Elevator Rd, Roscoe, IL 61073 • United States

5871 Elevator Rd, Roscoe, IL 61073 • 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
Associated Investment Services, Inc. Green Bay WI 03/2016 08/2022
Cetera Advisors Llc St Cloud MN 08/2022 Present
Mutually Focused Financial Advisors, Llc Roscoe IL 08/2022 Present
Cetera Investment Advisers Llc Schaumburg IL 03/2024 Present
Previous Registrations
  • 2016-03-15 → 2022-08-23
    Janesville, WI
    Stoughton, WI
    Mcfarland, WI
    Darlington, WI
  • 2014-06-02 → 2016-03-11
    Rockton, IL
  • 2013-07-11 → 2014-05-23
    Rockford, IL
    Rockford, IL
  • 2012-10-01 → 2013-04-03
    Roscoe, IL
  • 2009-07-27 → 2012-10-01
    Chase Investment Services Corp.
    Roscoe, IL
    Rockford, IL
    Rockford, IL
    Rockford, IL
    Rockford, IL
    Rockford, IL
  • 2009-03-02 → 2009-07-28
    Amcore Investment Services, Inc
    Rockford, IL
    Rockford, IL
    Rockford, IL
    Rockford, IL
  • 2006-04-17 → 2007-06-01
    Chase Investment Services Corp.
    Elgin, IL
    Elgin, IL
Other Businesses

1. NAME OF OTHER BUSINESS: MUTUALLY FOCUSED FINANCIAL ADVISORS, LLC, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 08/2022, POSITION/TITLE/RELATIONSHIP: PARTNER, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-04-14
S63 Uniform Securities Agent State Law Examination 2003-07-08
  • S66 Uniform Combined State Law Examination
    2006-04-14
  • S63 Uniform Securities Agent State Law Examination
    2003-07-08

View on SEC IAPD

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