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

Branch Locations

6720 N Scottsdale Road Suite 290, Scottsdale, AZ 85253 • 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
Student Loan Subspecialists Scottsdale AZ 05/2026 Present
Minnesota Life Insurance Company St. Paul MN 08/2016 08/2023
Securian Financial Services Inc. St. Paul MN 08/2016 08/2023
North Star Resource Group Phoenix AZ 08/2016 Present
Cri Securities Llc St. Paul MN 08/2016 10/2021
Cetera Wealth Services, Llc Scottsdale AZ 08/2023 Present
Cetera Investment Advisers Llc Schaumburg IL 08/2023 Present
Humble Wealth Scottsdale AZ 10/2024 Present
  • 05/2026 → Present
    Student Loan Subspecialists
    Scottsdale, AZ
  • 08/2016 → 08/2023
    Minnesota Life Insurance Company
    St. Paul, MN
  • 08/2016 → 08/2023
    Securian Financial Services Inc.
    St. Paul, MN
  • 08/2016 → Present
    North Star Resource Group
    Phoenix, AZ
  • 08/2016 → 10/2021
    Cri Securities Llc
    St. Paul, MN
  • 08/2023 → Present
    Cetera Wealth Services, Llc
    Scottsdale, AZ
  • 08/2023 → Present
    Schaumburg, IL
  • 10/2024 → Present
    Humble Wealth
    Scottsdale, AZ
Previous Registrations
  • 2016-10-04 → 2023-08-10
    Securian Financial Services, Inc.
    Scottsdale, AZ
    Scottsdale, AZ
    Phoenix, AZ
  • 2016-10-18 → 2021-10-25
    Cri Securities, Llc
    Scottsdale, AZ
    Scottsdale, AZ
Other Businesses

1) FINANCIAL MENTORING POSITION: Volunteer NATURE: Volunteer/Community Outreach INVESTMENT RELATED: No NUMBER OF HOURS: 6 SECURITIES TRADING HOURS: 6 START DATE: 06/01/2017 ADDRESS: , Phoenix AZ , United States DESCRIPTION: Volunteer 2) THE CENTER FOR HUMANE LIVING POSITION: Advisory Board NATURE: Board Member INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 10/01/2016 ADDRESS: , Paradise Valley AZ , United States DESCRIPTION: Advisory Board 3) AMERICAN COLLEGE OF FINANCIAL SERVICES POSITION: Consultant NATURE: Consultant INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 3 START DATE: 10/01/2022 ADDRESS: 630 Allendale Rd`, Suite 400, King of Prussia PA 19406, United States DESCRIPTION: Advising and consulting the American College on topics relating to Student Loan counseling. I will be putting together update webinars and educational videos for advisors and borrowers. The aim is to help the American College with becoming more of a "go to" resource in the realm of student loans. All of my content will still run through compliance and await approval prior to ever being posted. 4) FAITH DRIVEN ENTREPRENEUR - GROUP LEADER POSITION: Volunteer NATURE: Volunteer/Community Outreach INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 1 START DATE: 02/03/2023 ADDRESS: 6720 N Scottsdale Rd Suite 290, Scottsdale AZ 85253, United States DESCRIPTION: I will be a group leader for Faith Driven Entrepreneur. We will meet monthly. This is a men's bible study group 5) NAME OF OTHER BUSINESS: MICHAEL FOLEY; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: REFERRAL AFFILITATE; START DATE: 10/2023; POSITION/TITLE/RELATIONSHIP: REFERRAL PARTNER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: ASSIST CLIENTS IN REFINANCING THEIR STUDENT LOAN AND HELP FIND A REPUTABLE BANK; 6. NAME OF OTHER BUSINESS: "COW DOG THE WISER ADVISER - SAVING"; INVESTMENT RELATED: NO; ADDRESS: SAME AS RESIDENTIAL LOCATION; NATURE OF BUSINESS: CHILDREN'S BOOK; START DATE: 11/2023; POSITION/TITLE/RELATIONSHIP: AUTHOR; APX NUMBER OF HOURS PER WEEK: 5; APX NUMBER OF HOURS DURING TRADING HOURS: 5; BRIEF DESCRIPTION OF DUTIES: WRITE & DISTRIBUTE CHILDREN'S BOOK; 7. NAME OF OTHER BUSINESS: HUMBLE WEALTH; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL AND INSURANCE SERVICES; START DATE: 10/2024; POSITION/TITLE/RELATIONSHIP: OWNER/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 AND INSURANCE SERVICES 8. NAME OF OTHER BUSINESS: N/A - DIRECT TO SOLE PROP; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: EBOOK SALES; START DATE: 11/2025; POSITION/TITLE/RELATIONSHIP: CO-OWNER; APX NUMBER OF HOURS PER WEEK: 5; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: EDITING, WRITING, MARKETING, DISTRIBUTING; 9. NAME OF OTHER BUSINESS: STUDENT LOAN SUBSPECIALISTS; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: STUDENT LOAN CONSULTING; START DATE: 05/2026; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 20; APX NUMBER OF HOURS DURING TRADING HOURS: 20; BRIEF DESCRIPTION OF DUTIES: INDIVIDUALIZED FEDERAL STUDENT LOAN REPAYMENT AND FORGIVENESS STRATEGY CONSULTING, MONITORING OF FEDERAL STUDENT LOAN RULES AND PROGRAM CHANGES, TAILORED SERVICES TO EACH BORROWER’S UNIQUE LOAN BALANCE, INCOME TRAJECTORY, AND CAREER PATH

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-09-19
  • S66 Uniform Combined State Law Examination
    2016-09-19
Designations

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