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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 1998-02-16
  • IL RA
    APPROVED
    Since 1998-02-16

Branch Locations

1231 Colchester Ln, Aurora, IL 60505 • 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
R.S Kot & Co Aurora IL 02/1977 Present
Cetera Financial Specialists Llc Schaumburg IL 09/1992 Present
Cetera Investment Advisers Llc Schaumburg IL 02/1998 Present
Ronald Kot Aurora IL 09/1992 Present
  • 02/1977 → Present
    R.S Kot & Co
    Aurora, IL
  • 09/1992 → Present
    Cetera Financial Specialists Llc
    Schaumburg, IL
  • 02/1998 → Present
    Schaumburg, IL
  • 09/1992 → Present
    Ronald Kot
    Aurora, IL
Other Businesses

1) TAX ACCTG & AUDIT SVCS-OWNER SINCE 77-SERVICE CLLIENTS IN TAX ACCTG AND TAX MATTERS-40HR/WK: 2) RONALD KOT; NOT INV REL; AURORA, IL; SELL UNITED HEALTHCARE INSURANCE; INSURANCE PRODUCER; START DATE 9/1992; 20 HRS/MTH: 3) NAME OF OTHER BUSINESS: STONEGATE WEST COMMUNITY ASSOCIATION; INVESTMENT RELATED: NO; ADDRESS: 1705 HAVENSHIRE, AURORA, IL 60505; NATURE OF BUSINESS: COMMUNITY ASSOCIATION; START DATE: 06/2017; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER / TREASURER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: APPROVE BILLS FOR PAYMENT, SIGN CHECKS, REPORT QUARTERLY TO THE BOARD;

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-09-29
S63 Uniform Securities Agent State Law Examination 1992-11-25
  • S65 Uniform Investment Adviser Law Examination
    1997-09-29
  • S63 Uniform Securities Agent State Law Examination
    1992-11-25

View on SEC IAPD

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