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

Branch Locations

5700 Oakland Ave Ste 400, St Louis, MO 63110 • 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 Yes
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Nlp Investments Kirkwood MO 04/2000 10/2018
Securian Financial Services Inc St. Paul MN 10/2018 11/2018
Securian Financial Services Inc St. Paul MN 11/2018 08/2023
Renaissance Financial Corp St. Louis MO 10/2018 Present
Nlp Investments Kirkwood MO 10/2018 11/2022
Cetera Wealth Services, Llc St. Louis MO 08/2023 Present
Cetera Investment Advisers Llc Schaumburg IL 08/2023 Present
  • 04/2000 → 10/2018
    Nlp Investments
    Kirkwood, MO
  • 10/2018 → 11/2018
    Securian Financial Services Inc
    St. Paul, MN
  • 11/2018 → 08/2023
    Securian Financial Services Inc
    St. Paul, MN
  • 10/2018 → Present
    Renaissance Financial Corp
    St. Louis, MO
  • 10/2018 → 11/2022
    Nlp Investments
    Kirkwood, MO
  • 08/2023 → Present
    Cetera Wealth Services, Llc
    St. Louis, MO
  • 08/2023 → Present
    Schaumburg, IL
Previous Registrations
  • 2019-04-05 → 2023-08-10
    Securian Financial Services, Inc.
    St. Louis, MO
    St. Paul, MN
  • 2010-06-03 → 2012-10-17
    Fulcrum Advisory Services, Llc
    St. Louis, MO
Other Businesses

1. HERRING DESIGN & DEVELOPMENT POSITION: Officer NATURE: General Contractor INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 11/01/2014 ADDRESS: 307 Central, Kirkwood MO 63122, United States DESCRIPTION: As the Secretary, I help the owner of the S-Corp review his documents and contracts. He is a friend of the family and I do this without compensation. 2. DIECON POSITION: Director NATURE: Consultant INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2001 ADDRESS: PO Box 26, Collinsville IL 62234-0027, United States DESCRIPTION: As a hobby, I've helped the owners of the company with their documents. The company runs a single non-gambling gaming convention each year. 3. NAME OF OTHER BUSINESS: RENAISSANCE FINANCIAL INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: October 2018 POSITION/TITLE/RELATIONSHIP: Registered Staff APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: OFFER SECURITIES, INSURANCE AND ADVISORY SERVICES

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-02-27
S65 Uniform Investment Adviser Law Examination 1998-01-14
S63 Uniform Securities Agent State Law Examination 1993-05-17
  • S66 Uniform Combined State Law Examination
    2019-02-27
  • S65 Uniform Investment Adviser Law Examination
    1998-01-14
  • S63 Uniform Securities Agent State Law Examination
    1993-05-17

View on SEC IAPD

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