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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
TX RA APPROVED_RES 2017-07-26
WI RA APPROVED 2014-01-21
  • TX RA
    APPROVED_RES
    Since 2017-07-26
  • WI RA
    APPROVED
    Since 2014-01-21

Branch Locations

4060 N Oakland Avenue, Shorewood, WI 53211 • 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
Cetera Investment Services Llc St. Cloud MN 08/2005 Present
Northshore Bank Shorewood WI 08/2005 Present
Cetera Investment Advisers Llc Shorewood WI 01/2014 Present
  • 08/2005 → Present
    Cetera Investment Services Llc
    St. Cloud, MN
  • 08/2005 → Present
    Northshore Bank
    Shorewood, WI
  • 01/2014 → Present
    Shorewood, WI
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2000-07-28
S63 Uniform Securities Agent State Law Examination 1992-05-01
  • S65 Uniform Investment Adviser Law Examination
    2000-07-28
  • S63 Uniform Securities Agent State Law Examination
    1992-05-01

View on SEC IAPD

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