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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
CA RA APPROVED 2023-08-10
  • CA RA
    APPROVED
    Since 2023-08-10

Branch Locations

Costa Mesa, CA • United States

Ten Governor 5075 Shoreham Pl, Suite 260, San Diego, CA 92122 • 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
Securian Financial Services Inc St Paul MN 07/2020 09/2020
North Star Resource Group San Diego CA 07/2020 09/2020
Cri Securities Llc Minneapolis MN 07/2020 09/2020
University Of San Diego San Diego CA 09/2016 06/2020
Pinch A Penny Pool Patio Spa Clearwater FL 06/2018 08/2018
Pinch A Penny Pool Patio Spa Clearwater FL 06/2019 08/2019
Froy Inc Clearwater FL 06/2018 07/2019
Securian Financial Services Inc St Paul MN 09/2020 08/2023
North Star Resource Group San Diego CA 09/2020 Present
Cri Securities Llc Minneapolis MN 09/2020 10/2021
Minnesota Life Insurance Co St Paul MN 09/2020 08/2023
Cetera Wealth Services, Llc San Diego CA 08/2023 Present
Cetera Investment Advisers Llc Schaumburg IL 08/2023 Present
Wealth In Harmony Inc San Diego CA 01/2026 Present
  • 07/2020 → 09/2020
    Securian Financial Services Inc
    St Paul, MN
  • 07/2020 → 09/2020
    North Star Resource Group
    San Diego, CA
  • 07/2020 → 09/2020
    Cri Securities Llc
    Minneapolis, MN
  • 09/2016 → 06/2020
    University Of San Diego
    San Diego, CA
  • 06/2018 → 08/2018
    Pinch A Penny Pool Patio Spa
    Clearwater, FL
  • 06/2019 → 08/2019
    Pinch A Penny Pool Patio Spa
    Clearwater, FL
  • 06/2018 → 07/2019
    Froy Inc
    Clearwater, FL
  • 09/2020 → 08/2023
    Securian Financial Services Inc
    St Paul, MN
  • 09/2020 → Present
    North Star Resource Group
    San Diego, CA
  • 09/2020 → 10/2021
    Cri Securities Llc
    Minneapolis, MN
  • 09/2020 → 08/2023
    Minnesota Life Insurance Co
    St Paul, MN
  • 08/2023 → Present
    Cetera Wealth Services, Llc
    San Diego, CA
  • 08/2023 → Present
    Schaumburg, IL
  • 01/2026 → Present
    Wealth In Harmony Inc
    San Diego, CA
Previous Registrations
  • 2020-09-21 → 2023-08-10
    Securian Financial Services, Inc.
    San Diego, CA
    San Diego, CA
  • 2020-09-21 → 2021-10-28
    Cri Securities, Llc
    San Diego, CA
Other Businesses

1) NORTH STAR CONSULTANTS AND NORTH STAR BROKERAGE POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 09/01/2020 ADDRESS: 2701 University Ave SE, Minneapolis MN 55414, United States DESCRIPTION: Offering clients group/employee benefits and fixed insurance options (with the exception of annuities) outside of the carriers that have selling arrangements with Securian Financial or MN Life Insurance Co. 2) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 09/2020; APX NUMBER OF HOURS PER WEEK: 5; APX NUMBER OF HOURS DURING TRADING HOURS: 5; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SALES OF FIXED INSURANCE PRODUCTS; 3) NAME OF OTHER BUSINESS: NORTH STAR RESOURCE GROUP; INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 8/2023, POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 4) NAME OF OTHER BUSINESS: WEALTH IN HARMONY INC; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: EXPENSE MANAGEMENT; START DATE: 1/2026; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: EXPENSE MANAGEMENT;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-09-10
  • S66 Uniform Combined State Law Examination
    2020-09-10
Other Names
  • Mikaela Joy Doe

View on SEC IAPD

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