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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
OH RA APPROVED 2023-06-29
TX RA APPROVED 2023-06-29
  • OH RA
    APPROVED
    Since 2023-06-29
  • TX RA
    APPROVED
    Since 2023-06-29

Branch Locations

971 N Perry St, Ottawa, OH 45875 • 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
Uis Insurance & Investments Ottawa OH 07/2005 Present
Voya Financial Advisors Ottawa OH 09/2014 06/2021
Leipsic High School Leipsic OH 01/2014 01/2018
Cetera Wealth Services, Llc El Segundo CA 06/2021 Present
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
  • 07/2005 → Present
    Uis Insurance & Investments
    Ottawa, OH
  • 09/2014 → 06/2021
    Voya Financial Advisors
    Ottawa, OH
  • 01/2014 → 01/2018
    Leipsic High School
    Leipsic, OH
  • 06/2021 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 06/2023 → Present
    Schaumburg, IL
Previous Registrations
Other Businesses

1. NAME OF ENTITY: First Christian Church; No; 120 S POPLAR STREET; LEIPSIC; OH; 45856; church; Board Member; 2/1/2012; 4; 0; meet to discuss matters of the church property and outreach activities 2. NAME OF ENTITY:WC FELTON AGENCY INC; Yes; 51 S WASHINGTON ST; TIFFIN; OH; 44883; INSURANCE PRODUCTS; SENIOR ACCOUNT EXECUTIVE/MINORITY OWNER; 1/1/2015; 0; 0; OWNERSHIP ONLY NO DUTIES 3. NAME OF ENTITY:UIS INSURANCE & INVESTMENTS; Yes; 971 N PERRY ST; OTTAWA; OH; 46875; FINANCIAL SERVICES/DBA; SENIOR ACCOUNT EXECUTIVE; 7/20/2005; 160; 160; SALE AND SERVICE INSURANCE, SECURITIES AND INVESTMENT PRODUCTS. 4.NAME OF ENTITY: INDEPENDENT INSURANCE AGENT; Yes; 971 N PERRY ST; OTTAWA; OH; 46875; FIXED INSURANCE SALES; INDEPENDENT INSURANCE AGENT; 7/20/2005; 160; 160; SALES OF FIXED INSURANCE PRODUCTS 5. NAME OF ENTITY:PUTNAM COUNTY REPUBLICAN CENTRAL COMMITTEE; No; 12000 RD R; COLUMBUS GROVE; OH; 45830; NON PROFIT ORGANIZATION; BOARD MEMBER; 6/10/2014; 1; 0; ARRANGE FOR POLL WORKERS IN LOBAL PRECINCT DURING ELECTIONS.ATTEND MEETINGS; 6. NAME OF OTHER BUSINESS: SCOUTING AMERICA; INVESTMENT RELATED: NO; ADDRESS: 2100 BROAD AVENUE FINDLAY, OH 45840; NATURE OF BUSINESS: NON PROFIT; START DATE: 05/2025; POSITION/TITLE/RELATIONSHIP: FUNDRAISING CHAIRPERSON; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: REACHING OUT TO PAST DONORS REQUESTING ADDITIONAL DONATION;

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2017-03-24
S63 Uniform Securities Agent State Law Examination 2010-02-01
  • S65 Uniform Investment Adviser Law Examination
    2017-03-24
  • S63 Uniform Securities Agent State Law Examination
    2010-02-01

View on SEC IAPD

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