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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
WA RA APPROVED 2023-06-29
  • WA RA
    APPROVED
    Since 2023-06-29

Branch Locations

Davenport, WA • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Cetera Wealth Services, Llc El Segundo CA 10/2014 Present
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
Davenport School District #207 Davenport WA 08/2023 Present
  • 10/2014 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 06/2023 → Present
    Schaumburg, IL
  • 08/2023 → Present
    Davenport School District #207
    Davenport, WA
Other Businesses

(1) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 7-2014 APX NUMBER OF HOURS PER WEEK: 24 APX NUMBER OF HOURS DURING TRADING HOURS: 24 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITIES, ANNUITIES AND LONG TERM CARE (2) NAME OF OTHER BUSINESS: WAGNER LAND CO LLC INVESTMENT RELATED: NO ADDRESS: 1430 JEFFERSON ST, DAVENPORT, WA 99122 NATURE OF BUSINESS: FARM PRODUCTION RENTAL INCOME START DATE: 05/2004 APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 1 BRIEF DESCRIPTION OF DUTIES: 18% OWNERSHIP IN RENTAL INCOME PAID FROM FARM PRODUCTION AND LAND OWNERSHIP (3) NAME OF OTHER BUSINESS: DBA WAGNER FINANCIAL STRATEGIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 10/2014 POSITION/TITLE/RELATIONSHIP: PRESIDENT APX NUMBER OF HOURS PER WEEK: 50 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: INSURANCE AND MUTUAL FUND SALES (4) NAME OF OTHER BUSINESS: DAVENSPORT SCHOOL DISTRICT #207; INVESTMENT RELATED: NO; ADDRESS: 801 7TH STREET DAVENPORT, WA 99122; NATURE OF BUSINESS: JUNIOR HIGH FOOTBALL COACH; START DATE: 08/2023; POSITION/TITLE/RELATIONSHIP: HEAD FOOTBALL COACH; APX NUMBER OF HOURS PER WEEK: 12; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: LEAD PRACTICES , COACHING GAMES;

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2015-06-11
S63 Uniform Securities Agent State Law Examination 2005-12-29
  • S65 Uniform Investment Adviser Law Examination
    2015-06-11
  • S63 Uniform Securities Agent State Law Examination
    2005-12-29

View on SEC IAPD

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