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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
MN RA APPROVED 2023-08-10
TX RA APPROVED_RES 2023-08-10
  • MN RA
    APPROVED
    Since 2023-08-10
  • TX RA
    APPROVED_RES
    Since 2023-08-10

Branch Locations

124 E Walnut St 250, Mankato, MN 56001 • 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
Fairview Golf Course Mankato MN 03/1989 03/2017
Minnesota Life Insurance Company St. Paul MN 02/1990 08/2023
Securian Financial Services, Inc. St Paul MN 02/1991 08/2023
Minnesota Financial Services Mankato MN 03/1991 08/2023
Cetera Wealth Services, Llc Mankato MN 08/2023 Present
Cetera Investment Advisers Llc Schaumburg IL 08/2023 Present
  • 03/1989 → 03/2017
    Fairview Golf Course
    Mankato, MN
  • 02/1990 → 08/2023
    Minnesota Life Insurance Company
    St. Paul, MN
  • 02/1991 → 08/2023
    Securian Financial Services, Inc.
    St Paul, MN
  • 03/1991 → 08/2023
    Minnesota Financial Services
    Mankato, MN
  • 08/2023 → Present
    Cetera Wealth Services, Llc
    Mankato, MN
  • 08/2023 → Present
    Schaumburg, IL
Previous Registrations
  • 2014-01-16 → 2023-08-10
    Securian Financial Services, Inc.
    Mankato, MN
    Mankato, MN
    St. Paul, MN
Other Businesses

1) MINNESOTA STATE UNIVERSITY MANKATO POSITION: Employee NATURE: Trainer/Teacher INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 09/01/1991 ADDRESS: , Mankato MN , United States DESCRIPTION: Employee 2) SAMA FIXED INSURANCE POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 09/25/2019 ADDRESS: , Hiawatha IA , United States DESCRIPTION: Agent/Broker 3) MANKATO GOLF CLUB BOD POSITION: Director NATURE: Board Member INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 01/28/2020 ADDRESS: 100 Augusta Drive, Mankato MN 56001, United States DESCRIPTION: This is a local, not for profit Golf Club. I will be a director for the greens committee (golf related) activities. 4) NAME OF OTHER BUSINESS: GUIDE WEALTH PARTNERS; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 08/2023; POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 24; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-11-05
S63 Uniform Securities Agent State Law Examination 1991-03-05
  • S65 Uniform Investment Adviser Law Examination
    1998-11-05
  • S63 Uniform Securities Agent State Law Examination
    1991-03-05

View on SEC IAPD

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