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

Branch Locations

10955 Lowell Ave Ste 900, 910, 920, 100, And 200, Overland Park, KS 66210 • United States

10955 Lowell Ave Ste 900, Overland Park, KS 66210 • 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 Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Prosperity Advisors, Llc Overland Park KS 10/2015 Present
Cetera Advisors Llc St Cloud MN 10/2015 08/2021
Cetera Advisors Llc St Cloud MN 08/2021 Present
Comprehensive Retirement Solutions (Crs) Carmel IN 03/2022 01/2023
Cetera Investment Advisers Llc Schaumburg IL 03/2024 Present
  • 10/2015 → Present
    Prosperity Advisors, Llc
    Overland Park, KS
  • 10/2015 → 08/2021
    Cetera Advisors Llc
    St Cloud, MN
  • 08/2021 → Present
    Cetera Advisors Llc
    St Cloud, MN
  • 03/2022 → 01/2023
    Comprehensive Retirement Solutions (Crs)
    Carmel, IN
  • 03/2024 → Present
    Schaumburg, IL
Other Businesses

(1) NAME OF OTHER BUSINESS: PROSPERITY ADVISORS, LLC INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 10/2015, POSITION/TITLE/RELATIONSHIP: CLIENT SERVICES MANAGER, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; (2) NAME OF OTHER BUSINESS: MARY KAY COSMETICS INVESTMENT RELATED: NO, ADDRESS: SAME AS RESIDENTIAL LOCATION, NATURE OF BUSINESS: BEAUTY PRODUCTS, START DATE: 11/2011, POSITION/TITLE/RELATIONSHIP: INDEPENDENT BEAUTY CONSULTANT, APX NUMBER OF HOURS PER WEEK: 1, NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: SELL MARY KAY PRODUCTS; 3) NAME OF OTHER BUSINESS: PROSPERITY TAX CENTER, LLC, INVESTMENT RELATED: NO, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: TAX AND ACCOUNTING, START DATE: 03/2022, POSITION/TITLE/RELATIONSHIP: REFERRER, APX NUMBER OF HOURS PER WEEK: 2, MAY BE DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: REFER CLIENTS TO CPA; 4) NAME OF OTHER BUSINESS: NOTARY PUBLIC COMMISSION; INVESTMENT RELATED: NO ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: NOTARIZING DOCUMENTS ; START DATE: 11/2017; POSITION/TITLE/RELATIONSHIP: NOTARY ; APX NUMBER OF HOURS PER WEEK: 1 ; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: NOTARIZING DOCUMENTS ;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-02-13
  • S66 Uniform Combined State Law Examination
    2022-02-13
Other Names
  • Jessica Franz

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