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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 2024-03-21
  • TX RA
    APPROVED
    Since 2024-03-21

Branch Locations

Yoakum, TX • United States

701 North Post Oak Rd Suite 320, Houston, TX 77024 • 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 No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Texas Dow Employee Cu Victoria TX 07/2007 Present
Lpl Financial Llc Victoria TX 03/2011 08/2021
Totus Wealth Management The Woodlands TX 08/2021 Present
Cetera Advisors Llc St Cloud MN 08/2021 Present
Cetera Investment Advisers Llc Schaumburg IL 03/2024 Present
  • 07/2007 → Present
    Texas Dow Employee Cu
    Victoria, TX
  • 03/2011 → 08/2021
    Victoria, TX
  • 08/2021 → Present
    Totus Wealth Management
    The Woodlands, TX
  • 08/2021 → Present
    Cetera Advisors Llc
    St Cloud, MN
  • 03/2024 → Present
    Schaumburg, IL
Previous Registrations
  • 2011-03-01 → 2021-08-02
    Victoria, TX
    Fort Mill, SC
    Victoria, TX
    Cuero, TX
    Victoria, TX
    Victoria, TX
    Hallettsville, TX
    Edna, TX
    Yoakum, TX
    Port Lavaca, TX
    Seadrift, TX
    Victoria, TX
  • 2007-07-16 → 2011-03-02
    Cuna Brokerage Services, Inc.
    Waverly, IA
    Victoria, TX
    Hallettsville, TX
    Angleton, TX
    Cuero, TX
    Victoria, TX
  • 1998-09-01 → 2007-06-29
    Cetera Investment Services Llc
    Gonzales, TX
    Gonzales, TX
    Luling, TX
    Lockhart, TX
    San Marcos, TX
Other Businesses

1)NAME OF OTHER BUSINESS: TOTUS WEALTH MANAGEMENT INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 08/2021, POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 2) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FIXED INSURANCE, START DATE: 03/2023, APX NUMBER OF HOURS PER WEEK: VARIES, APX NUMBER OF HOURS DURING TRADING HOURS: VARIES, POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT , BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, FIXED ANNUITIES AND LONG-TERM CARE;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-02-25
S63 Uniform Securities Agent State Law Examination 1995-04-10
  • S66 Uniform Combined State Law Examination
    2008-02-25
  • S63 Uniform Securities Agent State Law Examination
    1995-04-10

View on SEC IAPD

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