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Employer firm

Cetera Investment Advisers LLC CRD 105644

$257B regulatory AUM 24,019 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers
Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2024-11-27
MI RA APPROVED 2023-06-29
  • CA RA
    APPROVED
    Since 2024-11-27
  • MI RA
    APPROVED
    Since 2023-06-29

Branch Locations

30833 Northwestern Hwy Ste 125, Farmington Hills, MI 48334 • United States

Los Angeles, CA • 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
Michigan State University E. Lansing MI 09/1994 09/2023
Cetera Wealth Services, Llc El Segundo CA 01/2013 Present
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
  • 09/1994 → 09/2023
    Michigan State University
    E. Lansing, MI
  • 01/2013 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 06/2023 → Present
    Schaumburg, IL
Other Businesses

1. BIZEX, WWW.BIZEX.NET, BUSINESS BROKER. CALIFORNIA REAL ESTATE LICENSE; 2. NAME OF OTHER BUSINESS: FINANCIAL NETWORK INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES POSITION/TITLE/RELATIONSHIP: AFFILIATED PERSON START DATE: 01/02/2013 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES. 3. NAME OF OTHER BUSINESS: MACHINE MANAGEMENT INC.; INVESTMENT RELATED: NO; ADDRESS: SAME AS RESIDENTIAL LOCATION; NATURE OF BUSINESS: CREDIT CARD PAYMENT PROCESSING; START DATE: 03/2017; POSITION/TITLE/RELATIONSHIP: PRESIDENT; APX NUMBER OF HOURS PER WEEK: 6; APX NUMBER OF HOURS DURING TRADING HOURS:1; BRIEF DESCRIPTION OF DUTIES: OWN AND OPERATE ATM MACHINES, CREDIT CARD PAYMENT PROCESSING;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2012-01-09
S63 Uniform Securities Agent State Law Examination 1995-02-17
  • S66 Uniform Combined State Law Examination
    2012-01-09
  • S63 Uniform Securities Agent State Law Examination
    1995-02-17

View on SEC IAPD

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