Andrea Margo Hauptman

Current Employers

Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

Authority	Category	Status	Date
NJ	RA	APPROVED	2023-08-10

NJ RA
APPROVED

Since 2023-08-10

Branch Locations

14 Walsh Dr Ste 100, Parsippany, NJ 07054 • United States

Morris Plains, NJ • 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

Organization	City	State	From	To
Minnesota Life Insurance	St. Paul	MN	08/2011	08/2023
Securian Financial Services	St. Paul	MN	08/2011	08/2023
Allied Wealth Partners	Parsippany	NJ	06/2014	Present
Alianza Services Corp	Nyack	NY	02/2021	Present
Cetera Wealth Services, Llc	Parsippany	NJ	08/2023	Present
Cetera Investment Advisers Llc	Schaumburg	IL	08/2023	Present

08/2011 → 08/2023

Minnesota Life Insurance

St. Paul, MN
08/2011 → 08/2023

Securian Financial Services

St. Paul, MN
06/2014 → Present

Allied Wealth Partners

Parsippany, NJ
02/2021 → Present

Alianza Services Corp

Nyack, NY
08/2023 → Present

Cetera Wealth Services, Llc

Parsippany, NJ
08/2023 → Present

Cetera Investment Advisers Llc

Schaumburg, IL

Previous Registrations

2011-10-19 → 2023-08-10

Securian Financial Services, Inc.

Parsippany, NJ

St. Paul, MN

Other Businesses

ALLIED WEALTH PARTNERS POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 11/01/2012 ADDRESS: , Parsipanny NJ , United States DESCRIPTION: Agent/Broker ALIANZA SERVICES CORP POSITION: Employee NATURE: Employee INVESTMENT RELATED: No NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 120 START DATE: 02/01/2021 ADDRESS: 74 N Broadway Ave, Nyack NY 10960, United States DESCRIPTION: Alianza is an Authorized Herman Miller furniture dealer. The position isControllerwhich is responsible for accounts receivable, accounts payable, invoicing,billing.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2009-11-20
S63	Uniform Securities Agent State Law Examination	2009-03-09

S65 Uniform Investment Adviser Law Examination

2009-11-20
S63 Uniform Securities Agent State Law Examination

2009-03-09

Other Names

Andrea Margo Perez
Andrea Margo Hauptman-Perez

View on SEC IAPD