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

Branch Locations

Box Elder, SD • 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
Minnesota Life Insurance Company St. Paul MN 07/1993 08/2023
C.R.I. Securities, Llc St Paul MN 03/1995 10/2021
Securian Financial Services, Inc. St Paul MN 03/1995 08/2023
North Star Consultants, Inc Fridley MN 01/1987 Present
Cetera Wealth Services, Llc Minneapolis MN 08/2023 Present
Cetera Investment Advisers Llc Schaumburg IL 08/2023 Present
  • 07/1993 → 08/2023
    Minnesota Life Insurance Company
    St. Paul, MN
  • 03/1995 → 10/2021
    C.R.I. Securities, Llc
    St Paul, MN
  • 03/1995 → 08/2023
    Securian Financial Services, Inc.
    St Paul, MN
  • 01/1987 → Present
    North Star Consultants, Inc
    Fridley, MN
  • 08/2023 → Present
    Cetera Wealth Services, Llc
    Minneapolis, MN
  • 08/2023 → Present
    Schaumburg, IL
Previous Registrations
  • 2012-12-21 → 2023-08-10
    Securian Financial Services, Inc.
    Brainerd, MN
    Fridley, MN
    Minneapolis, MN
    Box Elder, SD
  • 2013-12-23 → 2021-10-18
    Cri Securities, Llc
    Fridley, MN
    Brainerd, MN
    Minneapolis, MN
Other Businesses

1. NORTH STAR CONSULTANTS & NORTH STAR BROKERAGE POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 06/01/2011 ADDRESS: 2701 University Avenue SE, Minneapolis MN 55414, United States DESCRIPTION: The servicing of fixed life insurance, DI insurance and LTC insurance; 2. NAME OF OTHER BUSINESS: NORTH STAR RESOURCE GROUP; INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 1/1996, POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 10, APX NUMBER OF HOURS DURING TRADING HOURS: 10, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES & SALE & SERVICES OF FIXED INSURANCE;

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1995-03-27
  • S63 Uniform Securities Agent State Law Examination
    1995-03-27
Designations

View on SEC IAPD

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