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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
FL RA APPROVED 2023-08-28
  • FL RA
    APPROVED
    Since 2023-08-28

Branch Locations

25 Beal Pkwy Ne, Fort Walton Beach, FL 32548 • 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
New York Life Insurance Company Pensacola FL 05/2015 03/2018
Nylife Securities Llc Pensacola FL 08/2015 03/2018
Regions Bank Fort Walton Beach FL 03/2018 Present
Cetera Investment Services Llc St. Cloud MN 03/2020 Present
Cetera Invesment Advisers Llc Fort Walton Beach FL 08/2023 Present
  • 05/2015 → 03/2018
    New York Life Insurance Company
    Pensacola, FL
  • 08/2015 → 03/2018
    Nylife Securities Llc
    Pensacola, FL
  • 03/2018 → Present
    Regions Bank
    Fort Walton Beach, FL
  • 03/2020 → Present
    Cetera Investment Services Llc
    St. Cloud, MN
  • 08/2023 → Present
    Cetera Invesment Advisers Llc
    Fort Walton Beach, FL
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-08-16
S63 Uniform Securities Agent State Law Examination 2020-03-04
  • S66 Uniform Combined State Law Examination
    2023-08-16
  • S63 Uniform Securities Agent State Law Examination
    2020-03-04
Other Names
  • Mark Whitton

View on SEC IAPD

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