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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 |
|---|---|---|---|
| NC | RA | APPROVED | 2023-09-18 |
| FL | RA | APPROVED | 2023-06-29 |
Branch Locations
St Augustine, FL • United States
15720 Brixham Hill Ave. Suite 300, Charlotte, NC 28277 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Pruco Securities,Llc | Belmont | NC | 02/1991 | 01/2021 |
| Unemployed | St Augustine | FL | 02/2021 | 04/2021 |
| One Strategic Partner | St Augustine | FL | 04/2021 | 04/2023 |
| Cetera Wealth Services, Llc | El Segundo | CA | 05/2023 | Present |
| Convergent Financial Partners, Llc | St Augustine | FL | 05/2023 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 06/2023 | Present |
| Strategic Advisory Partners | St Augustine | FL | 05/2024 | 07/2025 |
1. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 07/1990; APX NUMBER OF HOURS PER WEEK: None; APX NUMBER OF HOURS DURING TRADING HOURS: None; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, ANNUITIES AND LONG-TERM CARE; 2. NAME OF OTHER BUSINESS: UNPACKIN IT; INVESTMENT RELATED: NO; ADDRESS: PO BOX 473173, CHARLOTTE, NC 28247; NATURE OF BUSINESS: NON-PROFIT CHRISTIAN SPORTS MINISTRY; START DATE: 01/2023; POSITION/TITLE/RELATIONSHIP: TREASURER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: I MEET ONE TIME A MONTH TO REVIEW THE BUDGET OF THE MINISTRY WITH THE PRESIDENT AND THE BOOKKEEPER. WE REVIEW REVENUE AND EXPENSES. WE ALSO HAVE QUARTERLY BOARD MEETINGS WHERE WE SHARE THIS INFORMATION. NON-PROFIT CHRISTIAN SPORTS MINISTRY - NO CHECK WRITING; 3. NAME OF OTHER BUSINESS: RENTAL PROPERTY; INVESTMENT RELATED: NO; ADDRESS: 1804 FAWN WAY, FINKSBURG, MD 20148 NATURE OF BUSINESS: RENTAL PROPERTY; START DATE: 10/2009; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: NONE; APX NUMBER OF HOURS DURING TRADING HOURS: NONE; BRIEF DESCRIPTION OF DUTIES: NO ACTIVE INVOLVEMENT- ACCEPT RENT MONTHLY; 4. NAME OF OTHER BUSINESS: RENTAL PROPERTY; INVESTMENT RELATED: NO; ADDRESS: 85 PINE VALLEY, PINEHURST, NC 28374; NATURE OF BUSINESS: RENTAL PROPERTY; START DATE: 02/2003; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: NONE; APX NUMBER OF HOURS DURING TRADING HOURS: NONE; BRIEF DESCRIPTION OF DUTIES: NO ACTIVE INVOLVEMENT- MONTHLY RENT; 5. NAME OF OTHER BUSINESS: CONVERGENT FINANCIAL PARTNERS, LLC; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 05/2023; POSITION/TITLE/RELATIONSHIP: CEO/PRESIDENT; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32; BRIEF DESCRIPTION OF DUTIES: BUILD AN INDEPENDENT FINANCIAL FIRM AS A REGIONAL DIRECTOR IN AFFILIATION OF CETERA ADVISORY NETWORKS;
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2023-06-21 |
| S65 | Uniform Investment Adviser Law Examination | 1999-06-14 |
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