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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 2021-10-18
IL RA APPROVED 2021-09-27
  • FL RA
    APPROVED
    Since 2021-10-18
  • IL RA
    APPROVED
    Since 2021-09-27

Branch Locations

Plainfield, IL • United States

150 S Woodland St, Winter Garden, FL 34787 • 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
Unemployed Shorewood IL 08/2016 10/2016
Evans & Woulfe Accounting Carol Stream IL 11/2016 09/2017
Cetera Financial Specialists, Llc Schaumburg IL 11/2017 06/2019
Cetera Investment Advisers, Llc Schaumburg IL 11/2017 06/2019
Good Financial, Inc Lansing IL 09/2017 05/2021
Podgorski & Daluga Lansing IL 09/2017 05/2021
American United Life Plainfield IL 05/2021 09/2021
Oneamerica Securities Plainfield IL 05/2021 09/2021
Cetera Financial Specialists Llc Schaumburg IL 09/2021 Present
Cetera Investment Advisers Llc Schaumburg IL 09/2021 Present
Demido, Inc. Dba Sport Clip Plainfield IL 04/2020 12/2023
  • 08/2016 → 10/2016
    Unemployed
    Shorewood, IL
  • 11/2016 → 09/2017
    Evans & Woulfe Accounting
    Carol Stream, IL
  • 11/2017 → 06/2019
    Cetera Financial Specialists, Llc
    Schaumburg, IL
  • 11/2017 → 06/2019
    Schaumburg, IL
  • 09/2017 → 05/2021
    Good Financial, Inc
    Lansing, IL
  • 09/2017 → 05/2021
    Podgorski & Daluga
    Lansing, IL
  • 05/2021 → 09/2021
    American United Life
    Plainfield, IL
  • 05/2021 → 09/2021
    Oneamerica Securities
    Plainfield, IL
  • 09/2021 → Present
    Cetera Financial Specialists Llc
    Schaumburg, IL
  • 09/2021 → Present
    Schaumburg, IL
  • 04/2020 → 12/2023
    Demido, Inc. Dba Sport Clip
    Plainfield, IL
Previous Registrations
Other Businesses

1)GOOD FINANCIAL, INC; WINTER GARDEN, FL; INVESTMENT RELATED; DBA FOR INVESTMENT SERVICES; FINANCIAL SERVICES; OWNER; SINCE 10/2021; 80 HRS/MO 2)GOOD INSURANCE, INC; WINTER GARDEN, FL; INVESTMENT RELATED; DBA FOR INSURANCE SERVICES OFFERED THROUGH AFFILIATION WITH CFS; OWNER; SINCE 10/2021; 20 HRS/MO 3)GOOD TAX SOLUTIONS, INC DBA BYRD ACCOUNTING; WINTER GARDEN, FL; NON INVESTMENT RELATED; TAX PREPARATION; ACCOUNTANT; EA; LIMITED POA TO REPRESENT TAX CLIENTS TO THE IRS; SINCE 10/2021; 100 HRS/MO

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2015-07-17
S63 Uniform Securities Agent State Law Examination 2015-03-28
  • S65 Uniform Investment Adviser Law Examination
    2015-07-17
  • S63 Uniform Securities Agent State Law Examination
    2015-03-28

View on SEC IAPD

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