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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
TX RA APPROVED 2024-04-19
IL RA APPROVED 2024-03-21
  • TX RA
    APPROVED
    Since 2024-04-19
  • IL RA
    APPROVED
    Since 2024-03-21

Branch Locations

3923 West 95Th Street, Evergreen Park, IL 60805 • United States

15321 S 94Th Ave Ste 100, Orland Park, IL 60462 • United States

Chicago, IL • 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
Quiet Light Securities Llc Chicago IL 04/2005 02/2022
Prime Trading Llc Chicago IL 01/2023 02/2023
Unemployed Chicago IL 02/2022 01/2023
Megent Financial Orland Park IL 03/2023 Present
Unemployed Chicago IL 02/2023 03/2023
Cetera Advisors Llc St. Cloud MN 03/2023 Present
Cetera Investment Advisers Llc Schaumburg IL 03/2024 Present
  • 04/2005 → 02/2022
    Quiet Light Securities Llc
    Chicago, IL
  • 01/2023 → 02/2023
    Prime Trading Llc
    Chicago, IL
  • 02/2022 → 01/2023
    Unemployed
    Chicago, IL
  • 03/2023 → Present
    Megent Financial
    Orland Park, IL
  • 02/2023 → 03/2023
    Unemployed
    Chicago, IL
  • 03/2023 → Present
    Cetera Advisors Llc
    St. Cloud, MN
  • 03/2024 → Present
    Schaumburg, IL
Other Businesses

NAME OF OTHER BUSINESS: MEGENT FINANCIAL, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 03/2023, POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2023-06-01
S65 Uniform Investment Adviser Law Examination 2023-05-19
  • S63 Uniform Securities Agent State Law Examination
    2023-06-01
  • S65 Uniform Investment Adviser Law Examination
    2023-05-19

View on SEC IAPD

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