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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
WI RA APPROVED 2026-01-29
  • WI RA
    APPROVED
    Since 2026-01-29

Branch Locations

675 N Baker Rd Ste 110, Brookfield, WI 53045 • 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
Fidelity Investments Brookfield WI 09/2025 01/2026
Butler University Athletics Indianapolis IN 08/2023 12/2023
Separators Inc. Indianapolis IN 06/2023 08/2023
Unemployed Racine WI 08/2023 06/2024
Deerfield Financial Advisors Carmel IN 06/2024 04/2025
Unemployed Racine WI 06/2010 06/2023
Unemployed Racine WI 05/2025 09/2025
Racine Lakeshore Officials Association Racine WI 09/2025 09/2025
Prime Financial Services Brookfield WI 01/2026 01/2026
Youth Basketball Racine WI 09/2025 Present
Cetera Advisors Llc St Cloud MN 01/2026 Present
Cetera Investment Advisers Llc Schaumburg IL 01/2026 Present
  • 09/2025 → 01/2026
    Fidelity Investments
    Brookfield, WI
  • 08/2023 → 12/2023
    Butler University Athletics
    Indianapolis, IN
  • 06/2023 → 08/2023
    Separators Inc.
    Indianapolis, IN
  • 08/2023 → 06/2024
    Unemployed
    Racine, WI
  • 06/2024 → 04/2025
    Deerfield Financial Advisors
    Carmel, IN
  • 06/2010 → 06/2023
    Unemployed
    Racine, WI
  • 05/2025 → 09/2025
    Unemployed
    Racine, WI
  • 09/2025 → 09/2025
    Racine Lakeshore Officials Association
    Racine, WI
  • 01/2026 → 01/2026
    Prime Financial Services
    Brookfield, WI
  • 09/2025 → Present
    Youth Basketball
    Racine, WI
  • 01/2026 → Present
    Cetera Advisors Llc
    St Cloud, MN
  • 01/2026 → Present
    Schaumburg, IL
Other Businesses

1. NAME OF OTHER BUSINESS: PRIME FINANCIAL INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: DBA FOR FINANCIAL SERVICES START DATE: 01/2026 POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: PROVIDE CLIENT AND OFFICE SUPPORT; 2. NAME OF OTHER BUSINESS: YOUTH BASKETBALL INVESTMENT RELATED: NO ADDRESS: RACINE, WI 53405 NATURE OF BUSINESS: YOUTH BASKETBALL OFFICIAL START DATE: 9/2025 POSITION/TITLE/RELATIONSHIP: YOUTH BASKETBALL OFFICIAL APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: OFFICIATING YOUTH BASKETBALL GAMES;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-12-19
  • S66 Uniform Combined State Law Examination
    2025-12-19
Other Names
  • Caroline Strande
  • Caroline Kate Strande

View on SEC IAPD

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