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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
DE RA APPROVED 2023-08-10
TX RA APPROVED_RES 2023-08-10
  • DE RA
    APPROVED
    Since 2023-08-10
  • TX RA
    APPROVED_RES
    Since 2023-08-10

Branch Locations

900 Prides Crossing, Newark, DE 19713 • United States

Wilmington, DE • 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
Minnesota Life Insurance Company St. Paul MN 01/2009 08/2023
Securian Financial Services Inc St. Paul MN 01/2009 08/2023
Diamond State Financial Group Newark DE 01/2009 Present
Cetera Wealth Services, Llc Newark DE 08/2023 Present
Cetera Investment Advisers Llc Schaumburg IL 08/2023 Present
  • 01/2009 → 08/2023
    Minnesota Life Insurance Company
    St. Paul, MN
  • 01/2009 → 08/2023
    Securian Financial Services Inc
    St. Paul, MN
  • 01/2009 → Present
    Diamond State Financial Group
    Newark, DE
  • 08/2023 → Present
    Cetera Wealth Services, Llc
    Newark, DE
  • 08/2023 → Present
    Schaumburg, IL
Previous Registrations
  • 2011-12-23 → 2023-08-10
    Securian Financial Services, Inc.
    Newark, DE
    St. Paul, MN
Other Businesses

1) DSFG FIXED INSURANCE POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 07/14/2016 ADDRESS: , Newark DE , United States DESCRIPTION: Agent/Broker 2) DELAWARE GREENWAYS POSITION: Advisory Board NATURE: Board Member INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 2 START DATE: 05/01/2023 ADDRESS: 1910 Rockland Road, WIlmington DE 19803, United States DESCRIPTION: I would be serving on the external affairs committee. My specific role on the committee would be focused onfundraising activities/events. 3) NAME OF OTHER BUSINESS: DIAMOND STATE FINANCIAL GROUP; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: INSURANCE, SECURITIES AND ADVISORY SERVICES; START DATE: 08/2023; POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: SECURITIES AND ADVISORY SERVICES;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2011-12-15
S63 Uniform Securities Agent State Law Examination 2009-05-12
  • S66 Uniform Combined State Law Examination
    2011-12-15
  • S63 Uniform Securities Agent State Law Examination
    2009-05-12
Designations

View on SEC IAPD

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