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

Branch Locations

8988 Ruffian Ln, Newburgh, IN 47630 • 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
Zip Express Courier Service Louisville KY 05/2009 03/2018
Transamerica Evansville IN 03/2018 09/2019
Vineyard Financial Evansville IN 06/2019 07/2020
Securian Financial Services Inc St Paul MN 01/2021 02/2021
Securian Financial Services Inc St Paul MN 03/2021 05/2022
Shoemaker Financial Newburgh IN 03/2021 05/2022
Allstate Mount Vernon IN 07/2020 01/2021
Securian Financial Services Inc St Paul MN 05/2022 08/2023
Minnesota Life Insurance Co St Paul MN 05/2022 08/2023
Shoemaker Financial Newburgh IN 05/2022 Present
Cetera Wealth Services, Llc Newburgh IN 08/2023 Present
Cetera Investment Advisers Llc Schaumburg IL 08/2023 Present
  • 05/2009 → 03/2018
    Zip Express Courier Service
    Louisville, KY
  • 03/2018 → 09/2019
    Transamerica
    Evansville, IN
  • 06/2019 → 07/2020
    Vineyard Financial
    Evansville, IN
  • 01/2021 → 02/2021
    Securian Financial Services Inc
    St Paul, MN
  • 03/2021 → 05/2022
    Securian Financial Services Inc
    St Paul, MN
  • 03/2021 → 05/2022
    Shoemaker Financial
    Newburgh, IN
  • 07/2020 → 01/2021
    Allstate
    Mount Vernon, IN
  • 05/2022 → 08/2023
    Securian Financial Services Inc
    St Paul, MN
  • 05/2022 → 08/2023
    Minnesota Life Insurance Co
    St Paul, MN
  • 05/2022 → Present
    Shoemaker Financial
    Newburgh, IN
  • 08/2023 → Present
    Cetera Wealth Services, Llc
    Newburgh, IN
  • 08/2023 → Present
    Schaumburg, IL
Previous Registrations
  • 2022-02-11 → 2023-08-10
    Securian Financial Services, Inc.
    Newburgh, IN
    St. Paul, MN
Other Businesses

1) SHOEMAKER FINANCIAL FIXED INSURANCE POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 10/27/2019 ADDRESS: 2176 West St Ste 100, Germantown TN 38138, United States DESCRIPTION: fixed insurance sales 2) NAME OF OTHER BUSINESS: KENTUCKY GENEALOGICAL SOCIETY; INVESTMENT RELATED: NO ; ADDRESS: PO BOX 54704 LEXINGTON, KY 40555; NATURE OF BUSINESS: NON PROFIT; START DATE: 01/2024; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: ATTEND MEETINGS, UNPAID GENEALOGY SEMINARS; 3 NAME OF OTHER BUSINESS: POSEY COUNTY COMMUNITY FOUNDATION; INVESTMENT RELATED: NO ; ADDRESS: 601 MAIN ST MT VERNON, IN 47620; NATURE OF BUSINESS: NON PROFIT; START DATE: 10/2022; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: ATTEND MEETINGS, SERVE ON GRANT COMMITTEE; 4) NAME OF OTHER BUSINESS: COMMUNITY EMERGENCY ACTION BOARD; INVESTMENT RELATED: NO ; ADDRESS: 601 MAIN ST MT VERNON, IN 47620; NATURE OF BUSINESS: NON PROFIT; START DATE: 06/2022; POSITION/TITLE/RELATIONSHIP: TREASURER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: PART OF A METRO UNITED WAY AGENCY, AID TO COMMUNITY MEMBERS WITH ELECTRICITY AND RENT; 5) NAME OF OTHER BUSINESS: FRIENDS OF THE ALEXANDRIAN PUBLIC LIBRARY; INVESTMENT RELATED: NO ; ADDRESS: 115 W. 5TH ST MT VERNON, IN 47620; NATURE OF BUSINESS: NON PROFIT; START DATE: 01/2017; POSITION/TITLE/RELATIONSHIP: VICE PRESIDENT; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: DECIDE ON CLUB ACTIVITIES, ANNUAL MEETING, HELP A SMALL GROUP SUPPORT THE LIBRARY; 6) NAME OF OTHER BUSINESS: POSEY COUNTY HISTORICAL SOCIETY; INVESTMENT RELATED: NO; ADDRESS: 716 LOCUST ST MT VERNON, IN 47620 NATURE OF BUSINESS: NON PROFIT; START DATE: 08/2024; POSITION/TITLE/RELATIONSHIP: ELECTED BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS:0; BRIEF DESCRIPTION OF DUTIES: ATTEND MEETINGS; 7) NAME OF OTHER BUSINESS: SELF-PUBLISHED AUTHOR; INVESTMENT RELATED: NO; ADDRESS: SAME AS RESIDENTIAL LOCATION; NATURE OF BUSINESS: AUTHOR; START DATE: 4/2005; POSITION/TITLE/RELATIONSHIP: AUTHOR; APX NUMBER OF HOURS PER WEEK: 0; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: SELF-PUBLISHED AUTHOR OF TWO BOOKS ONLY THE STRONG GO TO THE TOP AND WITHIN THE REALMS;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-12-13
  • S66 Uniform Combined State Law Examination
    2021-12-13

View on SEC IAPD

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