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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 |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2023-06-29 |
| VA | RA | APPROVED | 2023-06-29 |
Branch Locations
8200 Greensboro Drive Suite 625, Mclean, VA 22102 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Arnold Connor Jr | Centerville | VA | 05/1997 | Present |
| Voya Financial Advisors | Centreville | VA | 09/2014 | 06/2021 |
| Cetera Wealth Services, Llc | El Segundo | CA | 06/2021 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 06/2023 | Present |
NAME OF ENTITY:Kurtz, Connor, Browning & Phillips, LLC (KCBP, LLC); Yes; SAME AS REGISTERED LOCATION ; DBA; part owner; 9/1/2003; 200; 200; DBA for sales of securities and insurance products.|NAME OF ENTITY: INDEPENDENT INSURANCE AGENT; Yes; SAME AS REGISTERED LOCATION ; FIXED INSURANCE SALES; INDEPENDENT INSURANCE AGENT; 5/27/2009; 3; 3; SALES OF FIXED INSURANCE PRODUCTS|
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-06-05 |
| S63 | Uniform Securities Agent State Law Examination | 1994-06-13 |
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