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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
IL RA APPROVED 2024-03-21
  • IL RA
    APPROVED
    Since 2024-03-21

Branch Locations

15321 S 94Th Ave Ste 100, Orland Park, IL 60462 • 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
Edward Jones St Louis MO 08/2017 09/2019
Bed Bath & Beyond Dekalb IL 08/2016 05/2017
Spruce Lake Farm Peotone IL 01/2005 07/2017
Northern Illinois University Dekalb IL 08/2016 05/2017
Megent Financial Orland Park IL 09/2019 Present
Cetera Advisors Llc Denver CO 09/2019 Present
Cetera Investment Advisers Llc Schaumburg IL 03/2024 Present
  • 08/2017 → 09/2019
    St Louis, MO
  • 08/2016 → 05/2017
    Bed Bath & Beyond
    Dekalb, IL
  • 01/2005 → 07/2017
    Spruce Lake Farm
    Peotone, IL
  • 08/2016 → 05/2017
    Northern Illinois University
    Dekalb, IL
  • 09/2019 → Present
    Megent Financial
    Orland Park, IL
  • 09/2019 → Present
    Cetera Advisors Llc
    Denver, CO
  • 03/2024 → Present
    Schaumburg, IL
Previous Registrations
  • 2017-10-09 → 2019-09-27
    Peotone, IL
    St Louis, MO
    Kankakee, IL
Other Businesses

1) NAME OF OTHER BUSINESS: MEGENT FINANCIAL; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 09/2019; POSITION/TITLE/RELATIONSHIP: INVESTMENT EXECUTIVE; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: ASSIST ADVISORS WITH EXISTING CLIENT NEEDS;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-10-07
  • S66 Uniform Combined State Law Examination
    2017-10-07
Other Names
  • Emma Marie Smith
  • Emma Smith

View on SEC IAPD

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