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Cetera Investment Advisers LLC CRD 105644
$257B regulatory AUM 24,019 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2018-05-23 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Jpmorgan Chase Bank | Houston | TX | 02/2012 | 05/2018 |
| J.P. Morgan Securities Llc | Houston | TX | 10/2012 | 05/2018 |
| Cetera Investment Services Llc | St Cloud | MN | 05/2018 | Present |
| Cetera Investment Advisers Llc | Houston | TX | 05/2018 | Present |
| East West Bank | Houston | TX | 05/2018 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2015-03-27 |
| S63 | Uniform Securities Agent State Law Examination | 2012-10-05 |
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