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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
IL RA APPROVED 2024-03-21
FL RA APPROVED 2024-02-02
  • IL RA
    APPROVED
    Since 2024-03-21
  • FL RA
    APPROVED
    Since 2024-02-02

Branch Locations

Naples, FL • United States

15321 S 94Th Ave Ste 100, Orland Park, IL 60462 • United States

1200 Harger Road Suite 325, Oak Brook, IL 60523 • United States

1928 West Fulton #3, Chicago, IL 60612 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Self-Employed Orland Park IL 01/1972 02/2019
Self Employed Orland Park IL 01/1975 02/2019
Lpl Financial, Llc Orland Park IL 04/2016 02/2019
Opus Wealth Partners, Llc Lisle IL 04/2016 02/2019
Cetera Advisors Llc St Cloud MN 02/2019 Present
Burton Financial Group Naples FL 01/1999 Present
Megent Financial Orland Park IL 04/2016 Present
Cetera Investment Advisers Llc Schaumburg IL 01/2024 Present
  • 01/1972 → 02/2019
    Self-Employed
    Orland Park, IL
  • 01/1975 → 02/2019
    Self Employed
    Orland Park, IL
  • 04/2016 → 02/2019
    Lpl Financial, Llc
    Orland Park, IL
  • 04/2016 → 02/2019
    Opus Wealth Partners, Llc
    Lisle, IL
  • 02/2019 → Present
    Cetera Advisors Llc
    St Cloud, MN
  • 01/1999 → Present
    Burton Financial Group
    Naples, FL
  • 04/2016 → Present
    Megent Financial
    Orland Park, IL
  • 01/2024 → Present
    Schaumburg, IL
Previous Registrations
  • 2016-05-02 → 2019-03-04
    Opus Wealth Management Group
    Orland Park, IL
  • 2012-09-18 → 2016-05-02
    Fsc Securities Corporation
    Orland Park, IL
  • 2009-06-02 → 2012-09-17
    Wisconsin Financial Advisors, Llc
    Orland Park, IL
    Madison, WI
    Orland Park, IL
Other Businesses

1. NAME OF OTHER BUSINESS: BURTON FINANCIAL GROUP LLC; INVESTMENT RELATED: YES; ADDRESS: SAME AS RESIDENTIAL LOCATION; NATURE OF BUSINESS: FIXED INSURANCE START DATE: 2/2023; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: LESS THAN 1; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1; BRIEF DESCRIPTION OF DUTIES: BUSINESS EXPENSES, TAX RETURNS AND FIXED INSURANCE COMMISSIONS; 2. FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED, SAME AS REGISTERED LOCATION, FIXED INSURANCE, START DATE 02/2019, INSURANCE AGENT , APX NUMBER OF HOURS PER WEEK: VARIES, APX NUMBER OF HOURS DURING TRADING HOURS: VARIES, SELLS LIFE, HEALTH, AND DISABILITY. 3. MEGENT FINANCIAL, INVESTMENT RELATED, SAME AS REGISTERED LOCATION, FINANCIAL SERVICES, STARTED 04/2016, REGISTERED REPRESENTATIVE APX NUMBER OF HOURS PER WEEK: 40, 32.5 DURING TRADING HOURS BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-04-20
S63 Uniform Securities Agent State Law Examination 1992-03-14
  • S66 Uniform Combined State Law Examination
    2009-04-20
  • S63 Uniform Securities Agent State Law Examination
    1992-03-14

View on SEC IAPD

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