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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
TX RA APPROVED_RES 2023-02-23
MN RA APPROVED 2016-11-18
  • TX RA
    APPROVED_RES
    Since 2023-02-23
  • MN RA
    APPROVED
    Since 2016-11-18

Branch Locations

545 4Th St Nw, Elk River, MN 55330 • 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
Hempel Income Tax Service, Inc. Elk River MN 01/2001 Present
Cetera Financial Specialists Llc Schaumburg IL 08/2007 Present
Cetera Investment Advisers Llc Schaumburg IL 10/2007 Present
Hempel Tax And Financial Elk River MN 10/2022 Present
T. York Properties, Llc Elk River MN 11/2011 Present
  • 01/2001 → Present
    Hempel Income Tax Service, Inc.
    Elk River, MN
  • 08/2007 → Present
    Cetera Financial Specialists Llc
    Schaumburg, IL
  • 10/2007 → Present
    Schaumburg, IL
  • 10/2022 → Present
    Hempel Tax And Financial
    Elk River, MN
  • 11/2011 → Present
    T. York Properties, Llc
    Elk River, MN
Other Businesses

1)HEMPEL INCOME TAX SERVICE, INC; ELK RIVER, MN; TAX PREPARATION, BOOKKEEPING, ADMINISTRATIVE DUTIES, VICE PRESIDENT, TAX PREPARER; JAN-APR 250 HRS/MTH, MAY-DEC 50 HRS/MTH; SINCE 1/01: 2)RECEIVES LIFE INSURANCE RENEWALS FROM JOHN HANCOCK AND GENWORTH LIFE AND ANNUITY, SINCE 01/2001; O HRS/MTH: 3) NAME OF OTHER BUSINESS: T. YORK PROPERTIES, LLC; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: RENTAL PROPERTY; START DATE: 12/2025; POSITION/TITLE/RELATIONSHIP: MEMBER/PARTNER; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: COMMERCIAL PROPERTY RENTAL; 4)NAME OF OTHER BUSINESS: HEMPEL TAX AND FINANCIAL; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: TAX PREPARATION AND FINANCIAL SERVICES; START DATE: 10/2022; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 40-80; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: DBA FOR TAX PREPARATION/PLANNING, FINANCIAL SERVICES;

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2016-11-17
S63 Uniform Securities Agent State Law Examination 2005-09-22
  • S65 Uniform Investment Adviser Law Examination
    2016-11-17
  • S63 Uniform Securities Agent State Law Examination
    2005-09-22
Other Names
  • Tobin Hempel

View on SEC IAPD

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