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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
TX RA APPROVED_RES 2022-09-08
MN RA APPROVED 2020-04-06
  • TX RA
    APPROVED_RES
    Since 2022-09-08
  • MN RA
    APPROVED
    Since 2020-04-06

Branch Locations

400 1St Street S Ste 300, St Cloud, MN 56301 • United States

Burtrum, MN • 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
Cetera Advisor Networks Llc El Segundo CA 10/2018 04/2020
Onemaine Financial Saint Cloud MN 09/2017 09/2018
Target Saint Cloud MN 09/2013 09/2017
Cetera Investment Services Llc St Cloud MN 09/2018 Present
Cetera Advisors Llc Denver CO 09/2018 04/2020
Cetera Financial Specialists Llc Schaumburg IL 09/2018 04/2020
Cetera Investment Advisers Llc St Cloud MN 09/2018 Present
  • 10/2018 → 04/2020
    Cetera Advisor Networks Llc
    El Segundo, CA
  • 09/2017 → 09/2018
    Onemaine Financial
    Saint Cloud, MN
  • 09/2013 → 09/2017
    Target
    Saint Cloud, MN
  • 09/2018 → Present
    Cetera Investment Services Llc
    St Cloud, MN
  • 09/2018 → 04/2020
    Cetera Advisors Llc
    Denver, CO
  • 09/2018 → 04/2020
    Cetera Financial Specialists Llc
    Schaumburg, IL
  • 09/2018 → Present
    St Cloud, MN
Previous Registrations
  • 2019-11-11 → 2020-04-06
    Cetera Wealth Services, Llc
    St Cloud, MN
Other Businesses

TREASURER FOR SWANVILLE ATHLETIC BOOSTER; ACCEPT CHECKS/PAYMENTS FROM COMMUNITY MEMBERS, PAY FOR SERVICES; ATTEND AND VOTE IN BOARD MEETINGS; LEAD AND COLLECT ON FUNDRAISERS; 1-2 HRS/WK

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-11-08
  • S66 Uniform Combined State Law Examination
    2019-11-08

View on SEC IAPD

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