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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
CO RA APPROVED 2023-08-10
TX RA APPROVED_RES 2023-08-10
  • CO RA
    APPROVED
    Since 2023-08-10
  • TX RA
    APPROVED_RES
    Since 2023-08-10

Branch Locations

Denver, CO • 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
Lippincott Construction Inc Seattle WA 06/1998 07/2020
North Star Consultants, Inc Seattle WA 12/2014 Present
Cri Securities, Llc St Paul MN 12/2014 10/2021
Minnesota Life Insurance Company St Paul MN 12/2014 08/2023
Comprehensive Practice Resources Phoenix AZ 07/2014 11/2018
Securian Financial Services, Inc St Paul MN 12/2014 08/2023
Paid Speaker Olympia WA 07/2020 Present
Cetera Wealth Services, Llc Minneapolis MN 08/2023 Present
Cetera Investment Advisers Llc Schaumburg IL 08/2023 Present
Fortunelle Films, Llc Denver CO 03/2025 Present
  • 06/1998 → 07/2020
    Lippincott Construction Inc
    Seattle, WA
  • 12/2014 → Present
    North Star Consultants, Inc
    Seattle, WA
  • 12/2014 → 10/2021
    Cri Securities, Llc
    St Paul, MN
  • 12/2014 → 08/2023
    Minnesota Life Insurance Company
    St Paul, MN
  • 07/2014 → 11/2018
    Comprehensive Practice Resources
    Phoenix, AZ
  • 12/2014 → 08/2023
    Securian Financial Services, Inc
    St Paul, MN
  • 07/2020 → Present
    Paid Speaker
    Olympia, WA
  • 08/2023 → Present
    Cetera Wealth Services, Llc
    Minneapolis, MN
  • 08/2023 → Present
    Schaumburg, IL
  • 03/2025 → Present
    Fortunelle Films, Llc
    Denver, CO
Previous Registrations
  • 2014-12-18 → 2023-08-10
    Securian Financial Services, Inc.
    Seattle, WA
    Minneapolis, MN
    Olympia, WA
    Denver, CO
  • 2014-12-18 → 2021-10-22
    Cri Securities, Llc
    Seattle, WA
    Minneapolis, MN
    Seattle, WA
Other Businesses

1. BOOK & ARTICLE AUTHOR POSITION: Owner NATURE: Author INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 01/01/2015 ADDRESS: , Olympia WA , United States DESCRIPTION: Owner 2. NORTH STAR CONSULTANTS & NORTH STAR BROKERAGE POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 01/01/2014 ADDRESS: , Minneapolis MN , United States DESCRIPTION: Agent/Broker 3. PAID SPEAKER POSITION: Agent/Broker NATURE: Speaker INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 3 START DATE: 07/13/2020 ADDRESS: 8405 Ski View Lane Sw, Olympia WA 98512, United States DESCRIPTION: I have been asked to speak at conventions, and currently since travel is not an option due to Covid, the conventions have all turned into virtual, recorded talks. I used power points that are compliance approved with all disclosures. If they ask to record, I will turn in all recordings for compliance approval before they are released. The compensation is an honorarium. 4. REFERRAL FEES FROM CORPORATE VETERINARY BUYERS POSITION: Referrer NATURE: Referral Agreement INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 09/21/2020 ADDRESS: 8405 Ski View Lane Sw, Olympia WA 98512, United States DESCRIPTION: Vet practice owners decide to sell their practices. Some wish to sell to one of the 2,500 corporate consolidators out there. I would like to connect my sellers' with at least 2-3 corporate buyers for them to assess. Instead of charging the client, corporate entities pay referral fees. 5. NAME OF OTHER BUSINESS: HER TABLE WEALTH AND WELLNESS, INVESTMENT RELATED: NO, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL EMPOWERMENT, START DATE: 9/2024, POSITION/TITLE/RELATIONSHIP: WEALTH AND WELLNESS COACHING, APX NUMBER OF HOURS PER WEEK: 2, APX NUMBER OF HOURS DURING TRADING HOURS: 2, BRIEF DESCRIPTION OF DUTIES: COACHGUIDING WOMEN THROUGH OUR EDUCATIONAL PROGRAMS.... EMPOWERMENT, MINDSET, HABITS, ACCOUNTABILITY, NAVIGATING CHANGE, EMOTIONAL IMPACT; 6. NAME OF OTHER BUSINESS: MISSION ANIMAL HOSPITAL; INVESTMENT RELATED: NO; ADDRESS: 10100 VIKING DRIVE SUITE 150 EDEN PRAIRIE, MN 55344; NATURE OF BUSINESS: NON PROFIT; START DATE: 10/2024 ; POSITION/TITLE/RELATIONSHIP: ADVISOR BOARD-COLORADO; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: FUNDRAISE TO OPEN A 2ND LOCATION IN DENVER, AND THEN ADDITIONAL CITIES; 7. NAME OF OTHER BUSINESS: NORTH STAR RESOURCE GROUP , INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 08/2023, POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 1, APX NUMBER OF HOURS DURING TRADING HOURS: 1, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 8. NAME OF OTHER BUSINESS: FORTUNELLE FILMS, LLC, INVESTMENT RELATED: NO, ADDRESS: SAME AS RESIDENTIAL LOCATION, NATURE OF BUSINESS: FILM PRODUCTION, START DATE: 03/2025, POSITION/TITLE/RELATIONSHIP: PARTNER, MANAGING MEMBER, APX NUMBER OF HOURS PER WEEK: 10, APX NUMBER OF HOURS DURING TRADING HOURS: 2, BRIEF DESCRIPTION OF DUTIES: INVESTOR, EXECUTIVE PRODUCER, COORDINATION OF PRODUCTION WITH FILMMAKER AND DIGITAL MARKETING COMPANY, FEATURED IN THE FILM;

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2014-12-11
S63 Uniform Securities Agent State Law Examination 2013-01-10
  • S65 Uniform Investment Adviser Law Examination
    2014-12-11
  • S63 Uniform Securities Agent State Law Examination
    2013-01-10
Other Names
  • Darby Lee Lippincott
  • Darby Lee James
  • Darby Lee Pietrangelo

View on SEC IAPD

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