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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
SC RA APPROVED 2023-08-10
  • SC RA
    APPROVED
    Since 2023-08-10

Branch Locations

260 West Coleman Blvd St C, Mt Pleasant, SC 29464 • 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 Yes
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
The Prudential Insurance Company Of American East Brunswick NJ 04/2012 02/2020
Pruco Securities, Llc East Brunswick NJ 04/2012 02/2020
Securian Financial Services Saint Paul MN 05/2020 08/2023
Minnesota Life Insurance Company Saint Paul MN 05/2020 08/2023
Shoemaker- Ccm Mount Pleasant SC 05/2020 Present
Cetera Wealth Services, Llc Mt Pleasant SC 08/2023 Present
Cetera Investment Advisers Llc Schaumburg IL 08/2023 Present
  • 04/2012 → 02/2020
    The Prudential Insurance Company Of American
    East Brunswick, NJ
  • 04/2012 → 02/2020
    East Brunswick, NJ
  • 05/2020 → 08/2023
    Securian Financial Services
    Saint Paul, MN
  • 05/2020 → 08/2023
    Minnesota Life Insurance Company
    Saint Paul, MN
  • 05/2020 → Present
    Shoemaker- Ccm
    Mount Pleasant, SC
  • 08/2023 → Present
    Cetera Wealth Services, Llc
    Mt Pleasant, SC
  • 08/2023 → Present
    Schaumburg, IL
Previous Registrations
Other Businesses

CAROLINA CAPITAL MANAGEMENT, MT PLEASANT SC, FIXED INSURANCE AGENT, 5/2020-ONGOING, 5 HOURS PER MONTH, 5 TRADE HOURS SHOEMAKER FINANCIAL POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 05/06/2020 ADDRESS: 2176 West St, Suite 100, Germantown TN 38138, United States DESCRIPTION: Fixed Insurance.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-02-14
S63 Uniform Securities Agent State Law Examination 1993-02-17
  • S65 Uniform Investment Adviser Law Examination
    2001-02-14
  • S63 Uniform Securities Agent State Law Examination
    1993-02-17
Other Names
  • Jim Carden
  • James Joseph Carden

View on SEC IAPD

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