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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 2024-02-16
AZ RA APPROVED 2023-08-10
  • TX RA
    APPROVED
    Since 2024-02-16
  • AZ RA
    APPROVED
    Since 2023-08-10

Branch Locations

3131 E Camelback Road Suite 100, Phoenix, AZ 85016 • United States

8229 E Tumacacori Way, Carefree, AZ 85377 • 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 Saint Paul MN 06/2021 08/2023
Minnesota Life Insurance Company Saint Paul MN 06/2021 08/2023
Renaissance Financial Pheonix AZ 06/2021 Present
Images Arizona Carefree AZ 03/2019 06/2022
Grace Renee Gallery Carefree AZ 03/2019 06/2022
Scottsdale National Golf Club Scottsdale AZ 10/2018 03/2019
Ballyneal Golf & Hunt Club Holyoke CO 05/2018 10/2018
Whisper Rock Golf Club Scottsdale AZ 05/2013 05/2018
Cetera Wealth Services, Llc Phoenix AZ 08/2023 Present
Cetera Investment Advisers Llc Schaumburg IL 08/2023 Present
  • 06/2021 → 08/2023
    Securian Financial Services Inc
    Saint Paul, MN
  • 06/2021 → 08/2023
    Minnesota Life Insurance Company
    Saint Paul, MN
  • 06/2021 → Present
    Renaissance Financial
    Pheonix, AZ
  • 03/2019 → 06/2022
    Images Arizona
    Carefree, AZ
  • 03/2019 → 06/2022
    Grace Renee Gallery
    Carefree, AZ
  • 10/2018 → 03/2019
    Scottsdale National Golf Club
    Scottsdale, AZ
  • 05/2018 → 10/2018
    Ballyneal Golf & Hunt Club
    Holyoke, CO
  • 05/2013 → 05/2018
    Whisper Rock Golf Club
    Scottsdale, AZ
  • 08/2023 → Present
    Cetera Wealth Services, Llc
    Phoenix, AZ
  • 08/2023 → Present
    Schaumburg, IL
Previous Registrations
  • 2022-04-11 → 2023-08-10
    Securian Financial Services, Inc.
    Phoenix, AZ
    St. Paul, MN
Other Businesses

1. NAME OF OTHER BUSINESS: RENAISSANCE FINANCIAL INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: June 2021 POSITION/TITLE/RELATIONSHIP: Financial Advisor APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: OFFER SECURITIES, INSURANCE AND ADVISORY SERVICES 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: June 2021 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SALES OF FIXED INSURANCE PRODUCTS 3. GRACE RENEE GALLERY POSITION: Employee NATURE: Employee INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 2 START DATE: 08/01/2022 ADDRESS: 7212 E Ho Hum Rd, Carefree AZ 85377, United States DESCRIPTION: I help run events for my family's art gallery and hang art in clients homes when necessary.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2022-03-30
S65 Uniform Investment Adviser Law Examination 2022-03-08
  • S63 Uniform Securities Agent State Law Examination
    2022-03-30
  • S65 Uniform Investment Adviser Law Examination
    2022-03-08

View on SEC IAPD

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