Best Investors Account Sign in
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 2021-09-29
CO RA APPROVED 2021-04-15
  • TX RA
    APPROVED
    Since 2021-09-29
  • CO RA
    APPROVED
    Since 2021-04-15

Branch Locations

2979 W Main St Suite 300-309, Littleton, CO 80120 • 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
Northwestern Mutual Life Insurance Company Milwaukee WI 05/2019 03/2021
Northwestern Mutual Investment Services Llc Lakewood CO 05/2019 03/2021
Mundo Real Estate Llc Dba Tritheswim Dot Com Highlands Ranch CO 04/2013 Present
American Income Life Aurora CT 10/2018 02/2019
Northwestern Mutual Wealth Management Company Milwaukee WI 11/2019 03/2021
Cetera Investment Services Llc St Cloud MN 03/2021 Present
Cetera Investment Advisers Llc Littleton CO 04/2021 Present
  • 05/2019 → 03/2021
    Northwestern Mutual Life Insurance Company
    Milwaukee, WI
  • 05/2019 → 03/2021
    Northwestern Mutual Investment Services Llc
    Lakewood, CO
  • 04/2013 → Present
    Mundo Real Estate Llc Dba Tritheswim Dot Com
    Highlands Ranch, CO
  • 10/2018 → 02/2019
    American Income Life
    Aurora, CT
  • 11/2019 → 03/2021
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
  • 03/2021 → Present
    Cetera Investment Services Llc
    St Cloud, MN
  • 04/2021 → Present
    Littleton, CO
Other Businesses

1) MUNDO REAL ESTATE LLC, ONLINE RETAIL CONSULTING, 100% OWNER, <1HR/WK 2) THE NETWORK, INC, LIMITED PARTNER, LUNCH MEETINGS, <3HRS/YR 3) QUETZAL GLOBAL DBA THE FITNESS XCHANGE, LIMITED PARTNER, GYM LIQUIDATIONS, BOOKKEEPING, LUNCH MEETINGS TO DISCUSS FINANCIALS, <20 HRS/YR 4) COLLEGE PLANNING SOFTWARE FROM COLLEGE FUNDING SOLUTIONS, INC, OWNER / SOLE PROPRIETOR, FAMILIES REQUEST INFORMATION ON COLLEGE PLANNING, PROVIDE THEM WITH SOFTWARE AND LICENSING TO HAVE CFS MAINTAIN ONGOING RELATIONSHIP WITH CLIENT 2) BOOKKEEPER FOR SPOUSE'S LEGAL PRACTICE, BALDWIN CORTES LLC, 2-3/HRS/WK;

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2021-04-15
S63 Uniform Securities Agent State Law Examination 2019-08-22
  • S65 Uniform Investment Adviser Law Examination
    2021-04-15
  • S63 Uniform Securities Agent State Law Examination
    2019-08-22
Designations
Other Names
  • Mike Cortes

View on SEC IAPD

Other Firms

Other Investors

Other Offices

More in Littleton, CO

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor