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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
TX RA APPROVED_RES 2023-12-04
VA RA APPROVED 2023-08-10
  • TX RA
    APPROVED_RES
    Since 2023-12-04
  • VA RA
    APPROVED
    Since 2023-08-10

Branch Locations

800 E Canal St St 950, Richmond, VA 23219 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Securian Financial Services Inc St. Paul MN 07/2009 08/2023
Minnesota Life Insurance Company St. Paul MN 07/2009 08/2023
Virginia Asset Management Midlothian VA 07/2009 Present
Cetera Wealth Services, Llc Richmond VA 08/2023 Present
Cetera Investment Advisers Llc Schaumburg IL 08/2023 Present
  • 07/2009 → 08/2023
    Securian Financial Services Inc
    St. Paul, MN
  • 07/2009 → 08/2023
    Minnesota Life Insurance Company
    St. Paul, MN
  • 07/2009 → Present
    Virginia Asset Management
    Midlothian, VA
  • 08/2023 → Present
    Cetera Wealth Services, Llc
    Richmond, VA
  • 08/2023 → Present
    Schaumburg, IL
Previous Registrations
  • 2009-09-03 → 2023-08-10
    Securian Financial Services, Inc.
    Midlothian, VA
    Midlothian, VA
    Richmond, VA
    St. Paul, MN
Other Businesses

1. IRONGATE CAPITAL ADVISORS, LLC POSITION: Owner NATURE: Financial Services INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 0 START DATE: 08/01/2020 ADDRESS: SAME AS REGISTERED LOCATION DESCRIPTION: OFERING SECURITIES, ADVISORY AND INSURANCE SERVICES. I'll share the responsibilities of running and managing this company with my other two partners; 2. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 7/2009; APX NUMBER OF HOURS PER WEEK: 10; APX NUMBER OF HOURS DURING TRADING HOURS: 10; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SALES OF FIXED INSURANCE PRODUCTS; 3. NAME OF OTHER BUSINESS: VIRGINIA ASSET MANAGEMENT INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: HEALTH INSURANCE START DATE: 10/1/2024 POSITION/TITLE/RELATIONSHIP: INDEPENDENT CONTRACTOR APX NUMBER OF HOURS PER WEEK: 0 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: CLIENT REFERRAL

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-08-17
  • S66 Uniform Combined State Law Examination
    2009-08-17
Designations

View on SEC IAPD

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