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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 2025-03-28
WI RA APPROVED 2024-03-21
  • TX RA
    APPROVED_RES
    Since 2025-03-28
  • WI RA
    APPROVED
    Since 2024-03-21

Branch Locations

675 N Barker Rd, Ste 110, Brookfield, WI 53045 • 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
Equitable Advisors, Llc New York NY 06/2020 02/2021
Drake University Des Moines ID 08/2016 05/2020
College Pro Painters Des Moines IA 05/2017 07/2017
Stonebridge Financial Advisors Clive IA 05/2018 05/2019
Tero International Clive IA 05/2019 08/2019
Vision Financial Group Des Moines IA 01/2020 05/2020
Drake Recreational Services Des Moines IA 08/2017 08/2018
First Allied Securities, Inc San Diego CA 03/2021 09/2022
Cetera Advisors Llc Brookfield WI 09/2022 Present
Prime Financial Services Brookfield WI 05/2023 Present
Cetera Investment Advisers Llc Schaumburg IL 03/2024 Present
  • 06/2020 → 02/2021
    New York, NY
  • 08/2016 → 05/2020
    Drake University
    Des Moines, ID
  • 05/2017 → 07/2017
    College Pro Painters
    Des Moines, IA
  • 05/2018 → 05/2019
    Stonebridge Financial Advisors
    Clive, IA
  • 05/2019 → 08/2019
    Tero International
    Clive, IA
  • 01/2020 → 05/2020
    Vision Financial Group
    Des Moines, IA
  • 08/2017 → 08/2018
    Drake Recreational Services
    Des Moines, IA
  • 03/2021 → 09/2022
    First Allied Securities, Inc
    San Diego, CA
  • 09/2022 → Present
    Cetera Advisors Llc
    Brookfield, WI
  • 05/2023 → Present
    Prime Financial Services
    Brookfield, WI
  • 03/2024 → Present
    Schaumburg, IL
Previous Registrations
Other Businesses

1) NAME OF OTHER BUSINESS: PRIME FINANCIAL SERVICES; INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 5/2023, 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; 2) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 11/2023; APX NUMBER OF HOURS PER WEEK: 0; APX NUMBER OF HOURS DURING TRADING HOURS: 0; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, FIXED ANNUITIES AND LONG-TERM CARE; 3) NAME OF OTHER BUSINESS: PRIME FINANCIAL SERVICES; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: TAX PREPARATION; START DATE: 02/2021; POSITION/TITLE/RELATIONSHIP: TAX PREPARER; APX NUMBER OF HOURS PER WEEK: 20; APX NUMBER OF HOURS DURING TRADING HOURS: 20; BRIEF DESCRIPTION OF DUTIES: TAX PREPARATION; 4) NAME OF OTHER BUSINESS: NOTARY PUBLIC COMMISSION; INVESTMENT RELATED: NO ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: NOTARIZING DOCUMENTS ; START DATE: 10/2022; POSITION/TITLE/RELATIONSHIP: NOTARY ; APX NUMBER OF HOURS PER WEEK: 1 ; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: NOTARIZING DOCUMENTS ; 5) NAME OF OTHER BUSINESS: JUST FORE KIDS FOUNDATION; INVESTMENT RELATED: NO; ADDRESS: 2235 S FOXGLOVE CT, NEW BERLIN, WI 53151; NATURE OF BUSINESS: BOARD; START DATE: 6/2025; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: ATTEND BOARD MEETINGS;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-08-17
  • S66 Uniform Combined State Law Examination
    2020-08-17
Other Names
  • Alex Bray

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