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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
IA RA APPROVED 2023-06-29
TX RA APPROVED_RES 2023-06-29
  • IA RA
    APPROVED
    Since 2023-06-29
  • TX RA
    APPROVED_RES
    Since 2023-06-29

Branch Locations

203 West 7Th Street, Sanborn, IA 51248 • United States

627 2Nd Ave, Sheldon, IA 51201 • United States

260 Main Street, Melvin, IA 51350 • 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
Cetera Wealth Services, Llc El Segundo CA 03/2015 Present
Iowa State Bank Sheldon IA 03/2015 Present
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
  • 03/2015 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 03/2015 → Present
    Iowa State Bank
    Sheldon, IA
  • 06/2023 → Present
    Schaumburg, IL
Other Businesses

1. NAME OF OTHER BUSINESS: IOWA STATE BANK INVESTMENT RELATED DBA ISB WEALTH MANAGEMENT: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL INSTITUTION POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR START DATE: 3/2015 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: REGISTERED REPRESENTATIVE DUTIES 2. NAME OF OTHER BUSINESS: BRAAKSMA FAMILY FARM INVESTMENT RELATED: NO ADDRESS: 3359 MONROE AVE, SHELDON, IA 51201 NATURE OF BUSINESS: FARMING START DATE: 3/2015 APX NUMBER OF HOURS PER WEEK: MINIMAL APX NUMBER OF HOURS DURING TRADING HOURS: MINIMAL BRIEF DESCRIPTION OF DUTIES: FARMER FOR LIVESTOCK AND CROP PRODUCTION 3. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE:10/2015 APX NUMBER OF HOURS PER WEEK: VARIES APX NUMBER OF HOURS DURING TRADING HOURS: VARIES POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE AND ANNUITIES ; 4. NAME OF OTHER BUSINESS: ISB WEALTH MANAGEMENT, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 03/2015, 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: CHILDREN'S WORLD FOUNDATION; INVESTMENT RELATED: NO; ADDRESS: 1221 E 6H ST, SHELDON, IA 51201; NATURE OF BUSINESS: BOARD; START DATE: 11/2022; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: LESS THAN 1; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1; BRIEF DESCRIPTION OF DUTIES: ATTEND BOARD MEETINGS AND VOTE ON PROJECTS/ITEMS ON AGENDA; 6. NAME OF OTHER BUSINESS: COMMUNITY FOUNDATION OF SHELDON IOWA; INVESTMENT RELATED: NO; ADDRESS: 416 9TH STREET SHELDON, IA 51201; NATURE OF BUSINESS: NON PROFIT; START DATE: 3/2025; POSITION/TITLE/RELATIONSHIP: VOTING BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: 0.5; APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: VOTE ON VARIOUS PROJECTS IN THE SHELDON AREA, ANIMAL WELFARE, PARKS, YOUTH DEVELOPMENT AND OTHERS;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-06-23
  • S66 Uniform Combined State Law Examination
    2015-06-23

View on SEC IAPD

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