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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
NC RA APPROVED 2023-09-18
FL RA APPROVED 2023-06-29
  • NC RA
    APPROVED
    Since 2023-09-18
  • FL RA
    APPROVED
    Since 2023-06-29

Branch Locations

St Augustine, FL • United States

15720 Brixham Hill Ave. Suite 300, Charlotte, NC 28277 • 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
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
  • 02/1991 → 01/2021
    Pruco Securities,Llc
    Belmont, NC
  • 02/2021 → 04/2021
    Unemployed
    St Augustine, FL
  • 04/2021 → 04/2023
    One Strategic Partner
    St Augustine, FL
  • 05/2023 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 05/2023 → Present
    Convergent Financial Partners, Llc
    St Augustine, FL
  • 06/2023 → Present
    Schaumburg, IL
  • 05/2024 → 07/2025
    Strategic Advisory Partners
    St Augustine, FL
Previous Registrations
Other Businesses

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;

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2023-06-21
S65 Uniform Investment Adviser Law Examination 1999-06-14
  • S63 Uniform Securities Agent State Law Examination
    2023-06-21
  • S65 Uniform Investment Adviser Law Examination
    1999-06-14
Designations
  • Chartered Financial Consultant
Other Names
  • Scott Absher

View on SEC IAPD

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