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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
TX RA APPROVED_RES 2024-04-20
IL RA APPROVED 2024-03-21
  • TX RA
    APPROVED_RES
    Since 2024-04-20
  • IL RA
    APPROVED
    Since 2024-03-21

Branch Locations

3923 West 95Th Street, Evergreen Park, IL 60805 • United States

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
Country Capital Management Company Bloomington IL 04/2016 10/2019
Chicago Park District Chicago IL 06/2005 10/2024
Winters Insurance Llc Chicago IL 11/2019 02/2022
Cetera Advisors St Cloud MN 01/2022 04/2022
Cetera Advisors Llc St Cloud MN 04/2022 Present
Winters Insurance Agency Chicago IL 07/2019 Present
Cetera Investment Advisers Llc Schaumburg IL 03/2024 Present
  • 04/2016 → 10/2019
    Country Capital Management Company
    Bloomington, IL
  • 06/2005 → 10/2024
    Chicago Park District
    Chicago, IL
  • 11/2019 → 02/2022
    Winters Insurance Llc
    Chicago, IL
  • 01/2022 → 04/2022
    Cetera Advisors
    St Cloud, MN
  • 04/2022 → Present
    Cetera Advisors Llc
    St Cloud, MN
  • 07/2019 → Present
    Winters Insurance Agency
    Chicago, IL
  • 03/2024 → Present
    Schaumburg, 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: 03/2022, POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 20, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 2. NAME OF OTHER BUSINESS: WINTERS INSURANCE AGENCY, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: EXPENSE MANAGEMENT, START DATE: 07/2019, POSITION/TITLE/RELATIONSHIP: OWNER, LESS THAN ONE HOUR PER WEEK, NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: USED FOR TAX HARBORING, TAX PURPOSES ONLY; 3. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 9/2022; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE;

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2022-05-11
S65 Uniform Investment Adviser Law Examination 2022-03-08
  • S63 Uniform Securities Agent State Law Examination
    2022-05-11
  • S65 Uniform Investment Adviser Law Examination
    2022-03-08
Other Names
  • Tim Winters
  • Timothy Winters
  • Timothy K Winters

View on SEC IAPD

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