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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
TX RA APPROVED_RES 2023-08-10
  • TX RA
    APPROVED_RES
    Since 2023-08-10

Branch Locations

300 Beardsley Ln Ste A104, Austin, TX 78746 • United States

Lakeway, TX • United States

Two Barton Skyway 1601 South Mopac Expressway, Sui, Austin, TX 78746 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
North Star Resource Group Minneapolis MN 06/1993 07/2017
Minnesota Life Insurance Company St. Paul MN 07/1993 08/2023
Securian Financial Services, Inc. St. Paul MN 08/1993 08/2023
C.R.I. Securities, Inc. Minneapolis MN 08/1993 10/2021
North Star Resource Group Austin TX 07/2017 Present
Cetera Wealth Services, Llc El Segundo CA 08/2023 Present
Cetera Investment Advisers Llc Schaumburg IL 08/2023 Present
  • 06/1993 → 07/2017
    North Star Resource Group
    Minneapolis, MN
  • 07/1993 → 08/2023
    Minnesota Life Insurance Company
    St. Paul, MN
  • 08/1993 → 08/2023
    Securian Financial Services, Inc.
    St. Paul, MN
  • 08/1993 → 10/2021
    C.R.I. Securities, Inc.
    Minneapolis, MN
  • 07/2017 → Present
    North Star Resource Group
    Austin, TX
  • 08/2023 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 08/2023 → Present
    Schaumburg, IL
Previous Registrations
  • 2008-07-23 → 2023-08-10
    Securian Financial Services, Inc.
    Minneapolis, MN
    Minneapolis, MN
    Austin, TX
    St. Paul, MN
  • 2009-08-07 → 2021-10-28
    Cri Securities, Llc
    Minneapolis, MN
    Minneapolis, MN
    Austin, TX
Other Businesses

1) BOOK AUTHOR - MULTIPLE BOOKS POSITION: Owner NATURE: Author INV RELATED: No # OF HRS: 2 DUR TRD HRS: 2 START: 01/2014 ADDRESS: , Minneapolis MN DESCRIPTION: Owner 2) SCOTT RICHARDS NORTH STAR CHARITABLE FOUNDATION TITLE: Member NATURE: Board Member INV RELATED: No # OF HRS: 2 DUR TRD HRS: 2 START: 1/2004 ADDRESS: , Minneapolis MN DESCRIPTION: Member 3) THE AMERICAN COLLEGE OF FINANCIAL SERVICES - BOARD OF TRUSTEES TITLE: Officer NATURE: Board Member INV RELATED: No # OF HRS: 2 DUR TRD HRS: 1 START: 5/2017 ADDRESS: 630 Allendale Road, Suite 400, King of Prussia PA 19406, United States DESCRIPTION: attend meetings & vote on initiatives. provide guidance, experience & input in steering American College in being premier provider of financial services education for professionals in industry. 4) NORTH STAR TAX, LLC TITLE: Director NATURE: Business Owner INV RLTD: No NUMBER OF HOURS: 1 DUR TRD HRS: 0 START : 01/2002 2701 University Avenue SE, Minneapolis MN 55414, DESCRIPTION: division provides tax prep services to clients. 5) MACALESTER BOARD OF TRUSTEES TITLE: Trustee NATURE: Board Member INV RLTD: No NUMBER OF HOURS: 1 DUR TRD HRS: 1 START: 10/2020 ADDRESS: 208 Weyerhaeuser Hall, 62 Macalester Street, St. Paul MN 55105-1899, DESCRIPTION: hire & evaluate president; set broad policy & goals for college & evaluate performance against goals; participate in fund raising; approve president's tenure decisions; & oversee college financial affairs & investments. 6) NORTH STAR CONSULTANTS & NORTH STAR BROKERAGE; NOT INV RLTD; ADDRESS: SAME AS REGISTERED LOCATION NATURE: FIXED INSURANCE; START: 11/2023 POSITION: OFFICER # OF HRS: 1 SECURITIES TRADING HRS: 1 DESCRIPTION: OFFICER 7) NAME OF OTHER BUS: RENTAL PROPERTY - ELM STREET; NOT INV RLTD; 83 ELM STREET ST. PAUL, MN 55102; NATURE: RENTAL PROP; START: 8/2022; OWNER; APX # OF HRS PER WK: 0; DUTIES: RENTAL PROPERTY; 8) RENTAL PROPERTY - BONITA SPRINGS, FL; INV REL: NO; 28720 ALTESSA WAY APT 101 BONITA SPRINGS, FL ; RENTAL PROP; START DATE: 01/2024; OWNER; APX # OF HRS PER WK: 1;0 DUR TRAD HRS RENTAL PROPERTY; 9) RENTAL PROP - AUSTIN; INV REL: NO; 6204 WAVELL PL AUSTIN, TX ; RENTAL PROPERTY; START DATE: 04/2024; OWNER; APX # OF HRS PER WK: .01; .01 DUR TRAD HRS RENTAL PROPERTY; 10) NHSCA; INV REL: NO; 1700 SULLIVAN TRL #307 EASTON, PA ; NON PROFIT; START : 04/2024; BOARD MEMBER; APX # OF HRS PER WK: .02; .02 DUR TRAD HRS; BOARD MEETINGS; 11) NAME OF OTHER BUS: STOP ALZHEIMER'S NOW; NOT INV RLTD; 300 BEARDSLEY LN, AUSTIN, TX 78746; NATURE OF BUSINESS: BOARD; START: 10/2023; TITLE: PRESIDENT; APX # OF HRS/WK & DUR TRD HRS: 1; DUTIES: LEAD BOARD ON DECISION MAKING REGARDING DIRECTION OF CHARITABLE ORGANIZATION; 12) NAME OF OTHER BUS: NSRG VENTURES LLC; NOT INV RLTD; SAME AS REGISTERED LOCATION; NATURE: LLC; START: 12/2024; TITLE: OFFICER; APX # OF HRS WK: 1; DUTIES: NO DAY TO DAY DUTIES/OFFICER; 13) BUSINESS: NORTH STAR RESOURCE GROUP, INV REL: YES, SAME AS REGISTERED LOCATION, FINANCIAL SERVICES, 08/2023, CEO/FINANCIAL PROFESSIONAL, APX # OF HRS PER WK: 1, APX # OF HRS DUR TRAD HRS: 1, DUTIES: DBA FOR FINANCIAL SERVICES; 14) OKLAHOMA REGIONAL TRAINING CENTER; INVREL: NO; BROKEN ARROW, OK 74012; NON PROFIT; 04/2025; BOARD MEMBER; APX # OF HRS PER WK: 1; APX # OF HRS DUR TRAD HRS: 0; DUTIES: SUPPORTS OKLAHOMA UNIVERSITY WRESTLING, HELP BUILD BOARD INFRASTRUCTURE;

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1993-11-01
  • S63 Uniform Securities Agent State Law Examination
    1993-11-01

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