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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
CA RA APPROVED 2023-06-29
  • CA RA
    APPROVED
    Since 2023-06-29

Branch Locations

Sacramento, CA • United States

1390 Willow Pass Rd Ste 900, Concord, CA 94520 • 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
Mistretta - Tinseth Sacramento CA 07/1996 Present
Cetera Wealth Services, Llc El Segundo CA 01/2013 Present
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
  • 07/1996 → Present
    Mistretta - Tinseth
    Sacramento, CA
  • 01/2013 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 06/2023 → Present
    Schaumburg, IL
Previous Registrations
  • 2003-08-04 → 2008-08-13
    Pension Planners Securities, Inc.
    Sacramento, CA
    Sacramento, CA
    Sacramento, CA
Other Businesses

1.NAME OF OTHER BUSINESS: TINSETH ACCOUNTANCY INVESTMENT RELATED: NO ADDRESS: SAME AS RESIDENTIAL ADDRESS NATURE OF BUSINESS: ACCOUNTING, BOOKKEEPING, TAX PREP & REPRESENTATION, MANAGEMENT CONSULTING START DATE: 5/2005 APX NUMBER OF HOURS PER WEEK: 50 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 POSITION/TITLE/RELATIONSHIP: CPA & OWNER BRIEF DESCRIPTION OF DUTIES: ACCOUNTING, BOOKKEEPING, ETC. 2.NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED ADDRESS NATURE OF BUSINESS: FIXED INSURANCE START DATE: 3/2017 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 POSITION/TITLE/RELATIONSHIP: AGENT BRIEF DESCRIPTION OF DUTIES: SELLING LIFE & ANNUITIES

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2003-08-02
S63 Uniform Securities Agent State Law Examination 2003-07-28
S66 Uniform Combined State Law Examination 1999-01-04
  • S65 Uniform Investment Adviser Law Examination
    2003-08-02
  • S63 Uniform Securities Agent State Law Examination
    2003-07-28
  • S66 Uniform Combined State Law Examination
    1999-01-04
Other Names
  • Cheryl Anne Kmetty

View on SEC IAPD

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