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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 |
|---|---|---|---|
| TN | RA | APPROVED | 2020-01-15 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Regions Investment Services | Memphis | TN | 01/2008 | 05/2017 |
| Cetera Investment Services Llc | St. Cloud | MN | 03/2012 | 05/2017 |
| Banktennessee | Collierville | TN | 06/2017 | 11/2018 |
| Cetera Investment Advisers Llc | Collierville | TN | 08/2017 | 11/2018 |
| Lpl Financial Llc | Memphis | TN | 01/2019 | 10/2019 |
| Firstbank Investment Partners | Memphis | TN | 11/2018 | 12/2019 |
| Cetera Investment Advisers Llc | Germantown | TN | 01/2020 | Present |
| Cetera Investment Services Llc | St. Cloud | MN | 01/2020 | Present |
1. FINRA, ARBITRATOR, CASE WORK WITH PARTIES & 2 OTHER ARBITRATION PANELS, NO RELATIONSHIP & RANDOM SELECTION PROCESS TO SERVE 2. GERMANTOWN PERFORMING ARTS ALTER GUILD, 1/HR/MONTH
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2006-12-05 |
| S63 | Uniform Securities Agent State Law Examination | 1993-12-15 |
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