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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 |
|---|---|---|---|
| MD | RA | APPROVED | 2024-03-21 |
Branch Locations
2 disclosure categories 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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors, Llc | Annapolis | MD | 02/2015 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Annapolis | MD | 11/2016 | 09/2017 |
| Cetera Advisors Llc | Denver | CO | 09/2017 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 03/2024 | Present |
1)NAME OF OTHER BUSINESS: FISHING CREEK FINANCIAL LLC INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 2/2018 APX NUMBER OF HOURS PER WEEK: 50 APX NUMBER OF HOURS DURING TRADING HOURS: 32 POSITION/TITLE/RELATIONSHIP: INVESTMENT ADVISOR BRIEF DESCRIPTION OF DUTIES: PROVIDE INVESTMENT ADVICE FOR SECURITIES, INSURANCE, & ANNUITIES
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-02-17 |
| S63 | Uniform Securities Agent State Law Examination | 1995-02-16 |
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