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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
FL RA APPROVED 2026-03-10
VA RA APPROVED 2026-03-05
MD RA APPROVED 2002-08-13
  • FL RA
    APPROVED
    Since 2026-03-10
  • VA RA
    APPROVED
    Since 2026-03-05
  • MD RA
    APPROVED
    Since 2002-08-13

Branch Locations

Virginia Beach, VA • United States

Captiva, FL • 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 Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Cetera Financial Specialists Llc Schaumburg IL 01/2004 Present
Cetera Investment Advisers Llc Schaumburg IL 08/2002 Present
Other Businesses

1) NAME OF OTHER BUSINESS: RENTAL PROPERTY; INVESTMENT RELATED: NO; ADDRESS: 936 THOMSON WAY VIRGINIA BEACH VA 23464; NATURE OF BUSINESS: RENTAL PROPERTY; START DATE: 1/1998; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: NONE; APX NUMBER OF HOURS DURING TRADING HOURS: NONE; BRIEF DESCRIPTION OF DUTIES: RENTAL OF FORMER HOME; 2) NAME OF OTHER BUSINESS: LIBERTY HIGH SCHOOL; INVESTMENT RELATED: NO; ADDRESS: 5855 BARTHOLOW ROAD ELDERSBURG, MD 21784; NATURE OF BUSINESS: EDUCATION; START DATE: 11/2020; POSITION/TITLE/RELATIONSHIP: COACH AND SUBSTITUTE TEACHER; APX NUMBER OF HOURS PER WEEK: 15; APX NUMBER OF HOURS DURING TRADING HOURS: 15; BRIEF DESCRIPTION OF DUTIES: COACH BASKETBALL, TENNIS, SUBSTITUTE TEACHER WHEN AVAILABLE;

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2002-08-12
S63 Uniform Securities Agent State Law Examination 1992-10-07
  • S65 Uniform Investment Adviser Law Examination
    2002-08-12
  • S63 Uniform Securities Agent State Law Examination
    1992-10-07

View on SEC IAPD

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