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Employer firm

Cetera Investment Advisers LLC CRD 105644

$257B regulatory AUM 24,019 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers
Cetera Investment Advisers Llc

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

Current Registrations

AuthorityCategoryStatusDate
SC RA APPROVED 2023-06-29
  • SC RA
    APPROVED
    Since 2023-06-29

Branch Locations

Fair Play, SC • United States

104 Whitsett Street, Greenville, SC 29601 • 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
Voya Financial Advisors Greenville SC 09/2014 06/2021
Cetera Wealth Services, Llc El Segundo CA 06/2021 Present
The Ibex Group Greenville SC 02/2023 Present
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
  • 09/2014 → 06/2021
    Voya Financial Advisors
    Greenville, SC
  • 06/2021 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 02/2023 → Present
    The Ibex Group
    Greenville, SC
  • 06/2023 → Present
    Schaumburg, IL
Previous Registrations
Other Businesses

1. NAME OF ENTITY:ELAINE HALL- NOTARY PUBLIC; No; 104 WHITESETT ST; GREENVILLE; SC; 29601; NOTARY PUBLIC; NOTARY; 12/18/2017; 1; 0; NOTARIZE DOCUMENTS-IN ACCORDANCE WITH THEIR OWN STATE'S RULES REGARDING NOTARY PUBLICS-SC; 2. NAME OF ENTITY:METCALF & ASSOCIATES; Yes; 104 WHITESETT ST; GREENVILLE; SC; 29601; FINANCIAL SERVICES/DBA; OFFICE MANAGER; 1/1/2017; 160; 160; OFFICE MANAGER ADMINISTRATIVE DUTIES; 3. NAME OF OTHER BUSINESS: POTTERS CLAY FELLOWSHIP FINANCE COMMITTEE; INVESTMENT RELATED: NO; ADDRESS: 142 GRACE DR, EASLEY, SC 29640; NATURE OF BUSINESS: CHURCH; START DATE: 12/2022; POSITION/TITLE/RELATIONSHIP: FINANCE COMMITTEE MEMBER; APX NUMBER OF HOURS PER WEEK: LESS THAN 1; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1; BRIEF DESCRIPTION OF DUTIES: DISCUSS CHURCH BUDGET; 4. NAME OF OTHER BUSINESS: THE IBEX GROUP; INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 2/2023, 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: DBA FOR FINANCIAL SERVICES; 5. NAME OF OTHER BUSINESS: KEEPING TABS BOOKKEEPING LLC ; INVESTMENT RELATED: NO; ADDRESS: SAME AS RESIDENTIAL LOCATION; NATURE OF BUSINESS: BOOKKEEPING ; START DATE: 09/2023; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 5; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: BOOKKEEPING AND QUICKBOOKS DATA ENTRY SERVICES;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-04-01
S63 Uniform Securities Agent State Law Examination 2001-03-28
  • S66 Uniform Combined State Law Examination
    2005-04-01
  • S63 Uniform Securities Agent State Law Examination
    2001-03-28
Other Names
  • Elaine Ray
  • Glenda Elaine Ray
  • Elaine Ray Morgan

View on SEC IAPD

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