Ronald John Woodruff

Cetera Investment Advisers LLC

CRD 4933378

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Employer firm

Cetera Investment Advisers LLC CRD 105644

$257B regulatory AUM 24,019 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers

Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

Authority	Category	Status	Date
IL	RA	APPROVED	2008-04-18

IL RA
APPROVED

Since 2008-04-18

Branch Locations

1450 American Lane 6Th Floor, Suite#650, Schaumburg, IL 60173 • United States

Hampshire, IL • 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

Organization	City	State	From	To
Cetera Financial Specialists Llc	Schaumburg	IL	08/2004	Present
Cetera Investment Advisers Llc	Schaumburg	IL	01/2014	Present
Legend Equities Corporation	Palm Beach Gardens	FL	04/2015	Present

08/2004 → Present

Cetera Financial Specialists Llc

Schaumburg, IL
01/2014 → Present

Cetera Investment Advisers Llc

Schaumburg, IL
04/2015 → Present

Legend Equities Corporation

Palm Beach Gardens, FL

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2008-04-15

S66 Uniform Combined State Law Examination

2008-04-15

View on SEC IAPD

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