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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
IL RA APPROVED 2023-06-29
  • IL RA
    APPROVED
    Since 2023-06-29

Branch Locations

301 E Main St, Morrison, IL 61270 • 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
Wells Financial Service Morrison IL 07/2021 Present
Wahl Clipper Corporation Sterling IL 01/2019 06/2021
Sauk Valley Bank Sterling IL 08/2015 12/2018
Wahl Clipper Corporation Sterling IL 07/2021 12/2022
Cetera Wealth Services, Llc El Segundo CA 01/2022 Present
Cetera Advisor Networks El Segundo CA 08/2021 01/2022
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
  • 07/2021 → Present
    Wells Financial Service
    Morrison, IL
  • 01/2019 → 06/2021
    Wahl Clipper Corporation
    Sterling, IL
  • 08/2015 → 12/2018
    Sauk Valley Bank
    Sterling, IL
  • 07/2021 → 12/2022
    Wahl Clipper Corporation
    Sterling, IL
  • 01/2022 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 08/2021 → 01/2022
    Cetera Advisor Networks
    El Segundo, CA
  • 06/2023 → Present
    Schaumburg, IL
Other Businesses

1. NAME OF OTHER BUSINESS: SELF HELP ENTERPRISES INC. INVESTMENT RELATED: NO ADDRESS: STERLING IL 61081 NATURE OF BUSINESS: EDUCATIONAL START DATE: 01/2021 POSITION/TITLE/RELATIONSHIP: BOARD MEMBER APX NUMBER OF HOURS PER WEEK: 2 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: MEMBER OF BOARD 2. NAME OF OTHER BUSINESS: STERLING ROCK FALLS JAYCEES INVESTMENT RELATED: NO ADDRESS: STERLING IL 61081 NATURE OF BUSINESS: NON-PROFIT START DATE: 01/2016 POSITION/TITLE/RELATIONSHIP: BOARD MEMBER APX NUMBER OF HOURS PER WEEK: 2 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: MEMBER OF BOARD 3. NAME OF OTHER BUSINESS: WELLS FINANCIAL SERVICE INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 07/2021 POSITION/TITLE/RELATIONSHIP: ADMINISTRATIVE ASSISTANT APX NUMBER OF HOURS PER WEEK: 45 APX NUMBER OF HOURS DURING TRADING HOURS: 30 BRIEF DESCRIPTION OF DUTIES: ASSIST WITH BASIC OFFICE WORK AND OPERATIONS OF THE FIRM; 4. NAME OF OTHER BUSINESS: WELLS TAX CONSULTANTS LLC; INVESTMENT RELATED: NO; ADDRESS: 1303 1ST AVE, STERLING, IL 61081 NATURE OF BUSINESS: TAX PREPARATION; START DATE: 12/2024; POSITION/TITLE/RELATIONSHIP: PRESIDENT/OWNER; APX NUMBER OF HOURS PER WEEK: 15; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: MANAGEMENT OF COMPANY & TAX PREPARATION, TAX FILING, TAX PLANNING, & CONSULTING;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-04-04
  • S66 Uniform Combined State Law Examination
    2022-04-04

View on SEC IAPD

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