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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
NM RA APPROVED 2023-06-29
TX RA APPROVED 2023-06-29
  • NM RA
    APPROVED
    Since 2023-06-29
  • TX RA
    APPROVED
    Since 2023-06-29

Branch Locations

6100 Uptown Blvd Ne Ste 500, Albuquerque, NM 87110 • United States

7770 Jefferson St Ne Suite 405, Albuquerque, NM 87109 • 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
Altus Wealth Management Albuquerque NM 09/2018 04/2020
Rkd Alpha Dog Lincoln NE 01/2012 04/2018
Education Albuquerque NM 04/2018 09/2018
Cetera Wealth Services, Llc El Segundo CA 09/2018 Present
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
  • 09/2018 → 04/2020
    Altus Wealth Management
    Albuquerque, NM
  • 01/2012 → 04/2018
    Rkd Alpha Dog
    Lincoln, NE
  • 04/2018 → 09/2018
    Education
    Albuquerque, NM
  • 09/2018 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 06/2023 → Present
    Schaumburg, IL
Other Businesses

1) NAME OF OTHER BUSINESS: KENNEDY FINANCIAL NETWORK; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL PLANNING; START DATE:4/2020; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: CONSULTING, FINANCIAL PLANNING, AND INVESTMENT MANAGEMENT SERVICES; 2) NAME OF OTHER BUSINESS: N/A ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: NOTARY; START DATE: 5/2020; POSITION/TITLE/RELATIONSHIP: NOTARY PUBLIC; APX NUMBER OF HOURS PER WEEK: VARIES; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES; BRIEF DESCRIPTION OF DUTIES: PROVIDE NOTARY SERVICES; 3) NAME OF OTHER BUSINESS: SUCCESSOR TRUSTEE FOR CLIENTS TRUST; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: TRUST; START DATE: 08/2024; POSITION/TITLE/RELATIONSHIP: SUCCESSOR TRUSTEE; APX NUMBER OF HOURS PER WEEK: 0; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: SUCCESSOR TRUSTEE FOR FRIENDS TRUST;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-12-12
  • S66 Uniform Combined State Law Examination
    2018-12-12
Other Names
  • Kristen Marie Sadek
  • Kristen Marie Kennedy
  • Kristen Marie Kennedy-Kratzer

View on SEC IAPD

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