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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
SC RA APPROVED 2023-08-10
  • SC RA
    APPROVED
    Since 2023-08-10

Branch Locations

225 Seven Farms Dr Ste 106, Daniel Island, SC 29492 • 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
Western Southern Life Daniel Island SC 01/2019 09/2019
W&S Brokerage Services Cincinnati OH 02/2019 09/2019
Starbucks Coffee Charleston SC 07/2012 01/2019
Wells Fargo Clearing Services, Llc Summerville SC 09/2019 02/2023
Wells Fargo Bank, Na Summerville SC 09/2019 02/2023
Commonwealth Financial Group Daniel Island SC 02/2023 Present
Securian Financial Services Saint Paul MN 02/2023 08/2023
Minnesota Life Insurance Company Saint Paul MN 02/2023 08/2023
Cetera Wealth Services, Llc Daniel Island SC 08/2023 Present
Cetera Investment Advisers Llc Schaumburg IL 08/2023 Present
  • 01/2019 → 09/2019
    Western Southern Life
    Daniel Island, SC
  • 02/2019 → 09/2019
    W&S Brokerage Services
    Cincinnati, OH
  • 07/2012 → 01/2019
    Starbucks Coffee
    Charleston, SC
  • 09/2019 → 02/2023
    Summerville, SC
  • 09/2019 → 02/2023
    Wells Fargo Bank, Na
    Summerville, SC
  • 02/2023 → Present
    Commonwealth Financial Group
    Daniel Island, SC
  • 02/2023 → 08/2023
    Securian Financial Services
    Saint Paul, MN
  • 02/2023 → 08/2023
    Minnesota Life Insurance Company
    Saint Paul, MN
  • 08/2023 → Present
    Cetera Wealth Services, Llc
    Daniel Island, SC
  • 08/2023 → Present
    Schaumburg, IL
Previous Registrations
  • 2023-02-23 → 2023-08-10
    Securian Financial Services, Inc.
    Daniel Island, SC
    St. Paul, MN
  • 2019-12-05 → 2023-02-15
    Summerville, SC
    Charleston, SC
    Summerville, SC
    Mount Pleasant, SC
    Goose Creek, SC
    Mount Pleasant, SC
Other Businesses

1. NAME OF OTHER BUSINESS: COMMONWEALTH FINANCIAL GROUP; INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 1/2023, POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2019-12-05
S63 Uniform Securities Agent State Law Examination 2019-03-22
  • S65 Uniform Investment Adviser Law Examination
    2019-12-05
  • S63 Uniform Securities Agent State Law Examination
    2019-03-22
Other Names
  • Noah Barnes Tremaine
  • Noah Tremaine

View on SEC IAPD

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