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

Branch Locations

101 Broadway Street West Suite 103, Maple Grove, MN 55369 • 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 No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination Yes
Employment History
OrganizationCityStateFromTo
Edward Jones St Louis MO 06/2018 08/2021
Summit Companies St. Paul MN 03/2016 06/2018
Unemployed Na MN 08/2021 12/2021
Cetera Wealth Services, Llc El Segundo CA 12/2021 Present
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
  • 06/2018 → 08/2021
    St Louis, MO
  • 03/2016 → 06/2018
    Summit Companies
    St. Paul, MN
  • 08/2021 → 12/2021
    Unemployed
    Na, MN
  • 12/2021 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 06/2023 → Present
    Schaumburg, IL
Previous Registrations
  • 2018-08-20 → 2021-08-30
    Cottage Grove, MN
    St Louis, MO
    Cottage Grove, MN
    Bloomington, MN
    Bloomington, MN
Other Businesses

1. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 12/2021 APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 0 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SALES OF FIXED INSURANCE PRODUCTS: ANNUITIES 2. NAME OF OTHER BUSINESS: PROWEALTH FINANCIAL INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED ADDRESS NATURE OF BUSINESS: DBA START DATE: 12/2021 POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR/ SALES AND SERVICE APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: FINANCIAL ADVISOR/ SALES AND SERVICE;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-08-17
  • S66 Uniform Combined State Law Examination
    2018-08-17

View on SEC IAPD

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