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

Branch Locations

130 Wylderose Dr, Midlothian, VA 23113 • 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 No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Securian Financial Services Inc St. Paul MN 08/2010 08/2023
Virginia Asset Management Midlothian VA 08/2010 Present
Cetera Wealth Services, Llc Midlothian VA 08/2023 Present
Cetera Investment Advisers Llc Schaumburg IL 08/2023 Present
  • 08/2010 → 08/2023
    Securian Financial Services Inc
    St. Paul, MN
  • 08/2010 → Present
    Virginia Asset Management
    Midlothian, VA
  • 08/2023 → Present
    Cetera Wealth Services, Llc
    Midlothian, VA
  • 08/2023 → Present
    Schaumburg, IL
Previous Registrations
  • 2020-05-18 → 2023-08-10
    Securian Financial Services, Inc.
    Midlothian, VA
    St. Paul, MN
  • 2010-02-02 → 2010-04-01
    Cetera Investment Services Llc
    Mechanicsville, VA
  • 2008-11-17 → 2010-02-02
    Uvest Financial Services Group, Inc.
    Ashland, VA
    Chester, VA
    Chesterfield, VA
    Henrico, VA
    Henrico, VA
    Mechanicsville, VA
    Mechanicsville, VA
    Midlothian, VA
    Midlothian, VA
    Midlothian, VA
    Richmond, VA
    Powhatan, VA
    Mechanicsville, VA
    Charlotte, NC
    Henrico, VA
  • 2007-11-28 → 2008-10-31
    Qa3 Financial Llc
    Mechanicsville, VA
    Omaha, NE
  • 2005-10-17 → 2007-11-09
    Uvest Financial Services Group, Inc.
    Mechanicsville, VA
    Mechanicsville, VA
  • 2005-07-07 → 2005-10-21
    Waddell & Reed
    Richmond, VA
Other Businesses

1. NAME OF OTHER BUSINESS: VIRGINIA ASSET MANAGEMENT INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 08/2010 POSITION/TITLE/RELATIONSHIP: REGISTERED STAFF APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: PROVIDE OPERATIONAL SUPPORT

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-05-18
  • S66 Uniform Combined State Law Examination
    2020-05-18
Other Names
  • Diana Beth Lane
  • Diana Beth Briegel
  • Diana Beth Foley

View on SEC IAPD

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