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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 2023-08-10
FL RA APPROVED 2023-07-03
  • TX RA
    APPROVED
    Since 2023-08-10
  • FL RA
    APPROVED
    Since 2023-07-03

Branch Locations

1750 N Maitland Ave, Maitland, FL 32751 • 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 10/2020 08/2023
Minnesota Life Insurance Co St Paul MN 10/2020 08/2023
Evershore Financial Maitland FL 10/2020 Present
University Of Florida Gainesville FL 08/2016 08/2020
Cetera Wealth Services, Llc El Segundo CA 06/2023 Present
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
Brothen Financial Services Llc Winter Springs FL 02/2024 Present
  • 10/2020 → 08/2023
    Securian Financial Services Inc
    St Paul, MN
  • 10/2020 → 08/2023
    Minnesota Life Insurance Co
    St Paul, MN
  • 10/2020 → Present
    Evershore Financial
    Maitland, FL
  • 08/2016 → 08/2020
    University Of Florida
    Gainesville, FL
  • 06/2023 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 06/2023 → Present
    Schaumburg, IL
  • 02/2024 → Present
    Brothen Financial Services Llc
    Winter Springs, FL
Previous Registrations
  • 2021-01-20 → 2023-08-10
    Securian Financial Services, Inc.
    Maitland, FL
    St. Paul, MN
Other Businesses

1. EVERSHORE FIXED INSURANCE POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 10/21/2020 ADDRESS: 3300 PGA Blvd, Palm Beach Gardens FL 33410, United States DESCRIPTION: Fixed Insurance Sales 2. BNI PRESTIGE POSITION: Member NATURE: President of BNI Networking Group INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 2 START DATE: 01/01/2022 ADDRESS: 1750 N Maitland Ave, Maitland FL 32751, United States DESCRIPTION: I am the Chapter President for our BNI Group here in Winter Park. There is no direct income that comes from the group, but rather I would receive leads for the business. 3. NAME OF OTHER BUSINESS: BROTHEN FINANCIAL SERVICES LLC, INVESTMENT RELATED: YES, ADDRESS: SAME AS RESIDENTIAL LOCATION, NATURE OF BUSINESS: EXPENSE MANAGEMENT,, START DATE: 02/2024, POSITION/TITLE/RELATIONSHIP: OWNER, APX NUMBER OF HOURS PER WEEK: 50, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: FOR TAX PURPOSES; 4. NAME OF OTHER BUSINESS: EVERSHORE FINANCIAL GROUP; INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 11/2020;, 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;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-01-09
  • S66 Uniform Combined State Law Examination
    2021-01-09
Other Names
  • Cole Brothen
  • Cole Recroft Brothen

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