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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 2025-03-27
KS RA APPROVED 2024-03-21
  • TX RA
    APPROVED
    Since 2025-03-27
  • KS RA
    APPROVED
    Since 2024-03-21

Branch Locations

10955 Lowell Ave Ste 900, 910, 920, 100, And 200, Overland Park, KS 66210 • 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
Prosperity Advisors, Llc Overland Park KS 04/2021 Present
Umb Bank, N.A. Kansas City MO 08/2016 07/2020
Unemployed Howard KS 07/2020 04/2021
Cetera Advisors St Cloud MN 04/2021 06/2023
Cetera Advisors Llc St Cloud MN 06/2023 Present
Cetera Investment Advisers Llc Schaumburg IL 03/2024 Present
  • 04/2021 → Present
    Prosperity Advisors, Llc
    Overland Park, KS
  • 08/2016 → 07/2020
    Umb Bank, N.A.
    Kansas City, MO
  • 07/2020 → 04/2021
    Unemployed
    Howard, KS
  • 04/2021 → 06/2023
    Cetera Advisors
    St Cloud, MN
  • 06/2023 → Present
    Cetera Advisors Llc
    St Cloud, MN
  • 03/2024 → Present
    Schaumburg, IL
Other Businesses

1. NAME OF OTHER BUSINESS: PROSPERITY ADVISORS, LLC, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 04/2021, POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 30, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 2. NAME OF OTHER BUSINESS: KURTIS ROEBUCK-NOTARY, INVESTMENT RELATED: NO, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: NOTARIAL SERVICES, START DATE: 06/2022, POSITION/TITLE/RELATIONSHIP: NOTARY, APX NUMBER OF HOURS PER WEEK: 1, APX NUMBER OF HOURS DURING TRADING HOURS: 1, BRIEF DESCRIPTION OF DUTIES: ACKNOWLEDGEMENT OF CLIENT SIGNATURES; 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: 2/2025; APX NUMBER OF HOURS PER WEEK: LESS THAN 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SALES OF FIXED INSURANCE PRODUCTS;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-12-16
  • S66 Uniform Combined State Law Examination
    2023-12-16

View on SEC IAPD

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