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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
TN RA APPROVED 2023-08-10
TX RA APPROVED 2023-08-10
  • TN RA
    APPROVED
    Since 2023-08-10
  • TX RA
    APPROVED
    Since 2023-08-10

Branch Locations

750 Old Hickory Blvd St 2-210, Brentwood, TN 37027 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Minnesota Life Insurance Company St. Paul MN 10/2004 08/2023
Securian Financial Services St. Paul MN 10/2004 08/2023
Shoemaker Financial Advisors Nashville TN 10/2004 Present
Cetera Wealth Services, Llc Brentwood TN 08/2023 Present
Cetera Investment Advisers Llc Schaumburg IL 08/2023 Present
  • 10/2004 → 08/2023
    Minnesota Life Insurance Company
    St. Paul, MN
  • 10/2004 → 08/2023
    Securian Financial Services
    St. Paul, MN
  • 10/2004 → Present
    Shoemaker Financial Advisors
    Nashville, TN
  • 08/2023 → Present
    Cetera Wealth Services, Llc
    Brentwood, TN
  • 08/2023 → Present
    Schaumburg, IL
Previous Registrations
  • 2006-04-12 → 2023-08-10
    Securian Financial Services, Inc.
    Nashville, TN
    Brentwood, TN
    St. Paul, MN
Other Businesses

1. SHOEMAKER FINANCIAL FIXED INSURANCE POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 10/27/2019 ADDRESS: 2176 West St Ste 100, Germantown TN 38138, United States DESCRIPTION: fixed insurance sales; 2. NAME OF OTHER BUSINESS: THE PATTON HOUSE; INVESTMENT RELATED: NO; ADDRESS: 1718 GENERAL GEORGE PATTON DR, BRENTWOOD, TN 37027; NATURE OF BUSINESS: SOCIAL CLUB; START DATE: 7/2026; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 10; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: MINORITY OWNER IN A SOCIAL CLUB;

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-03-27
S63 Uniform Securities Agent State Law Examination 2005-03-17
S66 Uniform Combined State Law Examination 2004-12-01
  • S65 Uniform Investment Adviser Law Examination
    2006-03-27
  • S63 Uniform Securities Agent State Law Examination
    2005-03-17
  • S66 Uniform Combined State Law Examination
    2004-12-01

View on SEC IAPD

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