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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 |
|---|---|---|---|
| VA | RA | APPROVED | 2023-06-29 |
Branch Locations
8200 Greensboro Drive Suite 625, Mclean, VA 22102 • United States
Fairfax, VA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| American Capital Investments Group, Inc. | Chevy Chase | MD | 12/2014 | 11/2016 |
| Voya Financial Advisors | Vienna | VA | 11/2016 | 06/2021 |
| Cetera Wealth Services, Llc | El Segundo | CA | 06/2021 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 06/2023 | Present |
1) NAME OF ENTITY:KURTZ,CONNOR, BROWNING & PHILLIPS, LLC (KCBP, LLC); Yes; SAME AS REGISTERED LOCATION ; FINANCIAL SERVICES/DBA; FINANCIAL REP; 11/28/2016; 160; 160; PROVIDE CLIENT SERVICES,PREP/PROCESSING OF NEW ACCOUNTS/SERVICE PAPERWORK.PROVIDE ADMIN SERVICES AND ASSIST REP. 2) NAME OF ENTITY: Jennifer E Harmon-von Bredow - Notary Public; No; SAME AS REGISTERED LOCATION ; Notary Public; Notary; 9/25/2018; 1; 1; Notarize documentation 3) NAME OF OTHER BUSINESS: PROVIDENCE NURSERY SCHOOL INVESTMENT RELATED: NO ADDRESS: 9019 LITTLE RIVER TURNPIKE, FAIRFAX VA 22031 NATURE OF BUSINESS: FUNDRAISING COMMITTEE START DATE: 5/22/2026 POSITION/TITLE/RELATIONSHIP: FUNDRAISING CHAIR APX NUMBER OF HOURS PER WEEK: 1.5 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: FUNDRAISING OVERSEE FUNDRAISING COMMITTEE MEMBERS
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2015-04-28 |
| S63 | Uniform Securities Agent State Law Examination | 2014-01-21 |
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