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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
MO RA APPROVED 2023-06-29
  • MO RA
    APPROVED
    Since 2023-06-29

Branch Locations

112 W Jefferson Ave Ste 120A, Kirkwood, MO 63122 • 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
Cetera Wealth Services, Llc El Segundo CA 01/2013 Present
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
Previous Registrations
  • 2008-06-19 → 2008-08-13
    Pension Planners Securities, Inc.
    St. Louis, MO
    Citrus Heights, CA
    St. Louis, MO
Other Businesses

1. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED: YES, POSITION/TITLE/RELATIONSHIP: REPRESENTATIVE, BRIEF DESCRIPTION OF DUTIES: LIFE AND ANNUITIES; 2. NAME OF OTHER BUSINESS: MCGEE PARTNERS LLC/FUN IN THE SUN SPORTS, INVESTMENT RELATED: NO, ADDRESS: 121 A NORTH KIRKWOOD ROAD, KIRKWOOD, MO, 63122, NATURE OF BUSINESS: RETAIL SALES OF ATHLETIC APPAREL, POSITION/TITLE/RELATIONSHIP: PARTNER, START DATE: 1/15/2012, APPROX NUMBER OF HOURS PER WEEK: 10, BRIEF DESCRIPTION OF DUTIES: PARTNER, SPOUSE RUNS BUSINESS 3. NAME OF OTHER BUSINESS: 117 N. KIRKWOOD, LLC; INVESTMENT RELATED: NO; ADDRESS: 117 N. KIRKWOOD ROAD, KIRKWWOD, MO 63122; NATURE OF BUSINESS: COMMERCIAL PROPERTY OWNERSHIP; START DATE: 10/2016; POSITION/TITLE/RELATIONSHIP: PARTNER; APX NUMBER OF HOURS PER WEEK: NONE; APX NUMBER OF HOURS DURING TRADING HOURS: NONE; BRIEF DESCRIPTION OF DUTIES: NO SPECIFIC DUTIES, MAINTAIN BUILDING;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-05-22
S63 Uniform Securities Agent State Law Examination 1995-10-03
  • S66 Uniform Combined State Law Examination
    2008-05-22
  • S63 Uniform Securities Agent State Law Examination
    1995-10-03

View on SEC IAPD

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