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Cetera Investment Advisers LLC CRD 105644
$257B regulatory AUM 24,019 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2018-07-20 |
| OK | RA | APPROVED | 2017-03-01 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Oklahoma City | OK | 08/2015 | 02/2017 |
| Ibc Bank | Oklahoma City | OK | 08/2015 | 02/2017 |
| Midfirst Bank | Oklahoma City | OK | 03/2017 | Present |
| Cetera Investment Services Llc | St Cloud | MN | 03/2017 | Present |
| Cetera Investment Advisers Llc | Oklahoma City | OK | 03/2017 | Present |
1.) POLITICAL CAMPAIGN CONSULTING FOR DAVE WESTON RESEARCH; VOTER CONTACT, PRO FORMA DEVELOPMENT, WORK FLOW ADVISE, STAFF ORGANIZATION, HIRING GUIDANCE, BUDGETING, SURVEYS 2.) ABILITY TO EARN COMPENSATION FROM REFERRALS THROUGH TRUE CHAMPION REFERRAL PROGRAM AT MIDFIRST
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2015-11-23 |
| S63 | Uniform Securities Agent State Law Examination | 2015-11-09 |
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