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Sawyer Gibson West

Cetera Investment Advisers LLC

Lexington, KY

CRD 7999978

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Employer firm

Cetera Investment Advisers LLC CRD 105644

$257B regulatory AUM 24,019 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Educational seminars

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

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 2026-06-09
KY RA APPROVED 2026-05-13
  • TX RA
    APPROVED
    Since 2026-06-09
  • KY RA
    APPROVED
    Since 2026-05-13

Branch Locations

201 E. Main St Suite 520, Lexington, KY 40507 • 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
Bluegrass Greetings Llc Paris KY 03/2020 08/2022
Ymca Of Cky Lexington KY 10/2022 04/2024
Cetera Investment Services Llc St Cloud MN 04/2024 Present
Middle School And High School Paris KY 01/2015 03/2020
Cetera Investment Advisors Llc Lexington KY 05/2026 Present
  • 03/2020 → 08/2022
    Bluegrass Greetings Llc
    Paris, KY
  • 10/2022 → 04/2024
    Ymca Of Cky
    Lexington, KY
  • 04/2024 → Present
    Cetera Investment Services Llc
    St Cloud, MN
  • 01/2015 → 03/2020
    Middle School And High School
    Paris, KY
  • 05/2026 → Present
    Cetera Investment Advisors Llc
    Lexington, KY
Other Businesses

TRIPLE CROWN FINANCIAL, DBA FOR CETERA BUSINESS

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2026-05-12
  • S66 Uniform Combined State Law Examination
    2026-05-12

View on SEC IAPD

Nearby Firms

STATE FARM INVESTMENT MANAGEMENT CORP.
WEALTH MANAGEMENT OF THE BLUEGRASS, LLC.
LPL FINANCIAL LLC

Nearby Investors

MICHAEL JAMES BROWNELL
JASON CHRISTOPHER GRESHAM
JAMES CARL GRAY

Nearby Offices

STATE FARM INVESTMENT MANAGEMENT CORP. · LEXINGTON, KY
WEALTH MANAGEMENT OF THE BLUEGRASS, LLC. · LEXINGTON, KY
LPL FINANCIAL LLC · LEXINGTON, KY

More in Lexington, KY

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