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Employer firm

Cetera Investment Management LLC CRD 165436

1 advisory clients

Reported services (Item 5G)

  • COMMENTARY ON GENERAL MARKET CONDITIONS, PROVIDE ASSET ALLOCATION AND MODEL PORTFOLIOS TO OTHER INVESTMENT ADVISERS.

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

Current Employers
Cetera Investment Management Llc

1450 American Lane Suite 650, Schamburg, IL 60173 • United States

Current Registrations

AuthorityCategoryStatusDate
MN RA APPROVED 2023-08-14
  • MN RA
    APPROVED
    Since 2023-08-14

Branch Locations

400 Robert Street North Suite 800, Saint Paul, MN 55101 • United States

Eden Prairie, 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
Minnesota Life Insurance Company St. Paul MN 06/2013 08/2023
Securian Financial Services Inc St. Paul MN 01/2019 02/2019
Securian Finacial Services Inc St. Paul MN 02/2019 08/2023
Cetera Wealth Services, Llc El Segundo CA 08/2023 Present
Cetera Investment Advisers Llc Schaumburg IL 08/2023 08/2023
Cetera Investment Management Llc St Paul MN 08/2023 Present
Cetera Advisors Llc St. Cloud MN 08/2023 Present
  • 06/2013 → 08/2023
    Minnesota Life Insurance Company
    St. Paul, MN
  • 01/2019 → 02/2019
    Securian Financial Services Inc
    St. Paul, MN
  • 02/2019 → 08/2023
    Securian Finacial Services Inc
    St. Paul, MN
  • 08/2023 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 08/2023 → 08/2023
    Schaumburg, IL
  • 08/2023 → Present
    St Paul, MN
  • 08/2023 → Present
    Cetera Advisors Llc
    St. Cloud, MN
Previous Registrations
Other Businesses

EBAY POSITION: online seller NATURE: online selling INVESTMENT RELATED: No NUMBER OF HOURS: 30 SECURITIES TRADING HOURS: 0 START DATE: 07/24/2022 ADDRESS: 2025 Hamilton Avenue, San Jose CA 95125, United States DESCRIPTION: Selling used items online on ebay.com. Items include clothing, small electronics, and vintage/household items.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2019-10-30
  • S63 Uniform Securities Agent State Law Examination
    2019-10-30
Designations
  • Chartered Financial Analyst

View on SEC IAPD

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