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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 2023-08-10
WI RA APPROVED 2023-08-10
  • TX RA
    APPROVED_RES
    Since 2023-08-10
  • WI RA
    APPROVED
    Since 2023-08-10

Branch Locations

1433 North Water St St 400/500, Milwaukee, WI 53202 • 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 Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Minnesota Life Insurance Company St Paul MN 02/2021 08/2023
Securian Financial Services Inc St Paul MN 02/2021 08/2023
North Star Resource Group Minneapolis MN 02/2021 Present
Cri Securities Llc St Paul MN 02/2021 10/2021
Teresa's Mexican Restaurant Golden Valley MN 06/2018 01/2023
Jimmy Johns Savage MN 08/2014 06/2018
Shipt Birmingham AL 06/2018 01/2023
Cetera Wealth Services, Llc El Segundo CA 08/2023 Present
Cetera Investment Advisers Llc Schaumburg IL 08/2023 Present
  • 02/2021 → 08/2023
    Minnesota Life Insurance Company
    St Paul, MN
  • 02/2021 → 08/2023
    Securian Financial Services Inc
    St Paul, MN
  • 02/2021 → Present
    North Star Resource Group
    Minneapolis, MN
  • 02/2021 → 10/2021
    Cri Securities Llc
    St Paul, MN
  • 06/2018 → 01/2023
    Teresa's Mexican Restaurant
    Golden Valley, MN
  • 08/2014 → 06/2018
    Jimmy Johns
    Savage, MN
  • 06/2018 → 01/2023
    Shipt
    Birmingham, AL
  • 08/2023 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 08/2023 → Present
    Schaumburg, IL
Previous Registrations
  • 2021-11-29 → 2023-08-10
    Securian Financial Services, Inc.
    Minneapolis, MN
    Milwaukee, WI
    St. Paul, MN
Other Businesses

1) NORTH STAR RESOURCE GROUP POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 01/01/2019 ADDRESS: 1433 N. Water St., Suite 400, Milwaukee WI 53202, United States DESCRIPTION: Offering clients group/employee benefits and fixed insurance options outside of the carriers that have selling arrangement with Securian Financial or MN Life Insurance Co. 2) NAME OF OTHER BUSINESS: BUENA TIERRA MKE INC.; INVESTMENT RELATED: NO; ADDRESS: 790 N MILWAUKEE ST STE 302 185521 MILWAUKEE, WI 53202; NATURE OF BUSINESS: NON PROFIT; START DATE: 02/2025; POSITION/TITLE/RELATIONSHIP: ELECTED BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: 4; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: SERVE AS A GROUP LEADER, COMMUNITY ENGAGEMENT, HELP ORGANIZE EVENTS, CONNECT WITH COMMUNITY PARTNERS;

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2021-10-07
S63 Uniform Securities Agent State Law Examination 2021-07-20
  • S65 Uniform Investment Adviser Law Examination
    2021-10-07
  • S63 Uniform Securities Agent State Law Examination
    2021-07-20

View on SEC IAPD

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