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Cetera Investment Advisers LLC CRD 105644
$257B regulatory AUM 24,019 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| ID | RA | APPROVED | 2024-03-21 |
| TX | RA | APPROVED | 2024-03-21 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Investors Capital Corporation | Lynnfield | MA | 09/2001 | 10/2016 |
| Cetera Advisors Llc | Denver | CO | 10/2016 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 03/2024 | Present |
| Tozai Freedom, Inc | Eagle | ID | 01/2024 | Present |
1. Name of other business: Fixed insurance with various companies; Investment related: Yes; Address: Same as Registered Location; Nature of business: Fixed Insurance; Start Date: 07/07/2010; Apx number of hours per week: 2 HOURS; Apx number of hours during trading hours: VARIES; Position/title/relationship: Insurance Agent; Brief description of duties: Sells Life, Health, Disability, Annuities and Long-Term Care. 2. Name of other business: Bray Family LP; Investment related: No; Address: Rapid City, SD; Nature of business: raw land; Start date: 12/02/1993; Position/title/relationship: Owner; Apx number of hours per week: none; Apx number of hours during trading hours: none; Brief description of duties: raw land owned with family. 3. Name of other business: Toad's Eye Enterprises; Investment related: No; Address: same as residential location; Nature of business: Business development; Start date: 04/1989; Position/title/relationship: Co-Owner/Coach; Apx number of hours per week: 5-8 hours; Apx number of hours during trading hours: varies; Brief description of duties: personal coaching, training, sales/marketing, business expansion 4. NAME OF OTHER BUSINESS: N/A- RENTAL PROPERTY; INVESTMENT RELATED: NO; ADDRESS: 4712 REINHARDT DRIVE, OAKLAND, CA 94619; NATURE OF BUSINESS: PROPERTY LANDLORD; START DATE: 03/2024; POSITION/TITLE/RELATIONSHIP: PROPERTY OWNER; APX NUMBER OF HOURS PER WEEK: 0-1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: MAINTAIN PHYSICAL STRUCTURE, HOUSEHOLD APPLIANCES, ADDRESS CUSTOMER CONCERNS, WORK WITH PROPERTY MANAGER FOR TENANT CONCERNS; 5. NAME OF OTHER BUSINESS: TOZAI FREEDOM, INC.; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: EXPENSE MANAGEMENT; START DATE: 1/2024; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 4; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: S-CORP USED FOR TAX PURPOSES ONLY; NOT HELD OUT TO THE PUBLIC;
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2004-01-31 |
| S63 | Uniform Securities Agent State Law Examination | 1993-06-21 |
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