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Cetera Investment Advisers LLC CRD 105644
$257B regulatory AUM 24,019 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| KY | RA | APPROVED | 2019-10-09 |
Branch Locations
201 E. Main St Suite 520, Lexington, KY 40507 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Foresters Financial Services, Inc. | Lexington | KY | 03/2014 | 06/2019 |
| Foresters Advisory Services | Lexington | KY | 11/2018 | 06/2019 |
| Foresters Financial Services | Lexington | KY | 06/2019 | 08/2019 |
| Cetera Investment Services | Lexington | KY | 09/2019 | Present |
1. REGISTERED PRACTICE OPERATIONS COORDINATOR FOR TRIPLE CROWN FINANCIAL; DBA FOR CETERA BUSINESS
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2018-11-12 |
| S63 | Uniform Securities Agent State Law Examination | 2013-12-20 |
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