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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
KY RA APPROVED 2025-10-28
  • KY RA
    APPROVED
    Since 2025-10-28

Branch Locations

Waco, KY • United States

375 Claunch Road, Perryville, KY 40468 • 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
Southern States Cooperative London KY 02/2020 04/2023
The Saucy Crab Lexington KY 12/2022 12/2023
Informative Capture Solutions London KY 05/2023 10/2023
Turn It Around Llc Richmond KY 01/2024 07/2025
Vantage Financial Group Cleveland OH 08/2025 Present
Unemployed London KY 02/2014 02/2020
Cetera Wealth Services, Llc El Segundo CA 08/2025 Present
Cetera Wealth Services, Llc El Segundo CA 07/2025 08/2025
Cetera Investment Advisers Llc Schaumburg IL 10/2025 Present
  • 02/2020 → 04/2023
    Southern States Cooperative
    London, KY
  • 12/2022 → 12/2023
    The Saucy Crab
    Lexington, KY
  • 05/2023 → 10/2023
    Informative Capture Solutions
    London, KY
  • 01/2024 → 07/2025
    Turn It Around Llc
    Richmond, KY
  • 08/2025 → Present
    Vantage Financial Group
    Cleveland, OH
  • 02/2014 → 02/2020
    Unemployed
    London, KY
  • 08/2025 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 07/2025 → 08/2025
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 10/2025 → Present
    Schaumburg, IL
Other Businesses

1. NAME OF OTHER BUSINESS: VANTAGE FINANCIAL GROUP INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 08/2025 POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: FINANCIAL ADVISOR DUTIES;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-10-27
  • S66 Uniform Combined State Law Examination
    2025-10-27
Other Names
  • Nathan Steely

View on SEC IAPD

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