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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

AuthorityCategoryStatusDate
MO RA APPROVED 2025-04-30
AZ RA APPROVED 2025-04-10
  • MO RA
    APPROVED
    Since 2025-04-30
  • AZ RA
    APPROVED
    Since 2025-04-10

Branch Locations

2005 Burlington Street, North Kansas City, MO 64116 • United States

Scottsdale, AZ • 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
Southwestern Advantage Nashville TN 05/2017 08/2017
Ups Columbia MO 09/2017 12/2017
Great Plains Technical Services Overland Park KS 03/2018 08/2018
University Of Missouri Columbia MO 08/2015 12/2017
The Vanguard Group, Inc. Scottsdale AZ 08/2018 03/2025
Self Employed Scottsdale AZ 01/2019 04/2019
Online Retail Scottsdale AZ 08/2019 10/2019
Fdf Wealth Strategies; Scottsdale AZ 03/2025 Present
Cetera Wealth Services, Llc El Segundo CA 03/2025 Present
Cetera Investment Advisers Llc Schaumburg IL 03/2025 Present
  • 05/2017 → 08/2017
    Southwestern Advantage
    Nashville, TN
  • 09/2017 → 12/2017
    Ups
    Columbia, MO
  • 03/2018 → 08/2018
    Great Plains Technical Services
    Overland Park, KS
  • 08/2015 → 12/2017
    University Of Missouri
    Columbia, MO
  • 08/2018 → 03/2025
    The Vanguard Group, Inc.
    Scottsdale, AZ
  • 01/2019 → 04/2019
    Self Employed
    Scottsdale, AZ
  • 08/2019 → 10/2019
    Online Retail
    Scottsdale, AZ
  • 03/2025 → Present
    Fdf Wealth Strategies;
    Scottsdale, AZ
  • 03/2025 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 03/2025 → Present
    Schaumburg, IL
Previous Registrations
Other Businesses

1. NAME OF OTHER BUSINESS: FDF WEALTH STRATEGIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 03/2025; POSITION/TITLE/RELATIONSHIP: LICENSED SALES ASSISTANT; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 40; BRIEF DESCRIPTION OF DUTIES: LEARNING FDF WEALTH SYSTEMS AND PROCESSES, SIT IN ON CLIENT MEETINGS, LEARN HOW TO OPERATE A SUCCESSFUL ADVISORY PRACTICE

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-11-18
S63 Uniform Securities Agent State Law Examination 2018-10-03
  • S66 Uniform Combined State Law Examination
    2022-11-18
  • S63 Uniform Securities Agent State Law Examination
    2018-10-03
Designations
  • Certified Financial Planner
Other Names
  • Alec Bruington

View on SEC IAPD

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