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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
AZ RA APPROVED 2025-08-19
TX RA APPROVED 2025-08-18
  • AZ RA
    APPROVED
    Since 2025-08-19
  • TX RA
    APPROVED
    Since 2025-08-18

Branch Locations

1626 North Litchfield Road Suite 280, Goodyear, AZ 85395 • United States

Surprise, AZ • 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
J.P. Morgan Securities Llc Goodyear AZ 10/2012 08/2025
Jpmorgan Chase Bank, N.A. Goodyear AZ 01/2018 08/2025
Cetera Advisors Llc Saint Cloud MN 08/2025 Present
Cetera Investment Advisers Llc Schaumburg IL 08/2025 Present
Previous Registrations
  • 2012-10-01 → 2025-08-19
    Surprise, AZ
    Surprise, AZ
    Goodyear, AZ
    Goodyear, AZ
    Goodyear, AZ
  • 2008-09-02 → 2012-10-01
    Chase Investment Services Corp.
    Surprise, AZ
    Surprise, AZ
    Surprise, AZ
    Surprise, AZ
    Litchfield Park, AZ
    Phoenix, AZ
    Peoria, AZ
    Tolleson, AZ
    Goodyear, AZ
    Phoenix, AZ
    Phoenix, AZ
    Goodyear, AZ
    Goodyear, AZ
    Phoenix, AZ
    Glendale, AZ
    Peoria, AZ
    Glendale, AZ
    Phoenix, AZ
    Glendale, AZ
    Peoria, AZ
    Peoria,, AZ
Other Businesses

1. NAME OF OTHER BUSINESS: WILDE WEALTH MANAGEMENT GROUP; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: WEALTH MANAGEMENT; START DATE: 08/2025; POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 40; BRIEF DESCRIPTION OF DUTIES: INVESTMENT ADVICE; 2. NAME OF OTHER BUSINESS: HERSHEY WEALTH MANAGEMENT LLC; INVESTMENT RELATED: YES; ADDRESS: SAME AS RESIDENTIAL LOCATION; NATURE OF BUSINESS: EXPENSE MANAGEMENT; START DATE: 8/2025; POSITION/TITLE/RELATIONSHIP: MEMBER APX NUMBER OF HOURS PER WEEK: 20; APX NUMBER OF HOURS DURING TRADING HOURS: 20; BRIEF DESCRIPTION OF DUTIES: DBA FOR BUSINESS RELATED EXPENSES;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-08-12
  • S66 Uniform Combined State Law Examination
    2008-08-12

View on SEC IAPD

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