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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
CO RA APPROVED 2024-03-21
IN RA APPROVED 2024-03-21
TX RA APPROVED_RES 2024-03-21
  • CO RA
    APPROVED
    Since 2024-03-21
  • IN RA
    APPROVED
    Since 2024-03-21
  • TX RA
    APPROVED_RES
    Since 2024-03-21

Branch Locations

1033 Brittany Place, Fort Wayne, IN 46825 • 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
Charles Schwab & Co., Inc. Lone Tree CO 06/2014 09/2017
Charles Schwab Bank Lone Tree CO 08/2016 09/2017
Cetera Advisors Llc Denver CO 11/2017 Present
Summit Brokerage Services, Inc. Boca Raton FL 06/2018 Present
Cetera Investment Advisers Llc Schaumburg IL 03/2024 Present
  • 06/2014 → 09/2017
    Lone Tree, CO
  • 08/2016 → 09/2017
    Charles Schwab Bank
    Lone Tree, CO
  • 11/2017 → Present
    Cetera Advisors Llc
    Denver, CO
  • 06/2018 → Present
    Summit Brokerage Services, Inc.
    Boca Raton, FL
  • 03/2024 → Present
    Schaumburg, IL
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2014-10-27
S66 Uniform Combined State Law Examination 2009-04-22
S63 Uniform Securities Agent State Law Examination 1995-12-11
  • S65 Uniform Investment Adviser Law Examination
    2014-10-27
  • S66 Uniform Combined State Law Examination
    2009-04-22
  • S63 Uniform Securities Agent State Law Examination
    1995-12-11
Other Names
  • Wes Blosser

View on SEC IAPD

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