Wallace L. Carriker

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 09/2008 → Present
  Cetera Financial Specialists Llc
  Schaumburg, IL
• 01/1998 → Present
  Rognan & Associates
  Ballwin, MO
• 09/2008 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Other Businesses

1)LEE CARRIKER; CONSULTING; ADDRESS 324 VALPARAISO CT., VALLEY PARK, MO, 63088; NOT INV REL; I AM THE SOLE PROPRIETOR; BUSINESS STARTED 01/1998; APPROX 200 HRS/YR; AS REQUIRED BY NATURE OF VARIOUS ENGAGEMENTS: 2)ROGNAN & ASSOC; NOT INV REL; 616 APPLECROSS CT, ST LOUIS MO; CPA FIRM - TAX, ACCTNG, PAYROLL, CONSULTING; PARTNER SINCE 12/1997; TAX PREP: 3) CARRIKER WEALTH MANAGEMENT, DBA; INV REL; ST LOUIS, MO; FINANCIAL / INVESTMENT SERVICES PLANNING; SOLE PROPRIETOR; START DATE 2/1/12; 160 HRS/MTH, 100 DURING SECURITIES TRADING HRS: 4) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 11/2017; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 2; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SELLS LIFE AND LONG TERM CARE;

Exams

• S66 Uniform Combined State Law Examination
  2009-01-29

Other Names

• Lee Carriker