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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
AZ RA APPROVED 2026-08-04
  • AZ RA
    APPROVED
    Since 2026-08-04

Branch Locations

1702 E Highland Ave Suite 204, Phoenix, AZ 85016 • 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
Tiaa Champaign IL 08/2015 11/2020
Tiaa-Cref Individual & Institutional Services, Llc Champaign IL 08/2015 11/2020
Cuna Brokerage Services, Inc Waverly IA 08/2021 06/2026
Alaska Usa Fcu Tempe AZ 08/2021 06/2026
Unemployed Phoenix AZ 11/2020 08/2021
Lpl Financial Llc Tempe AZ 05/2022 06/2026
Cetera Investment Services Llc St Cloud MN 08/2026 Present
Cetera Investment Advisors Llc Phoenix AZ 08/2026 Present
Unemployed Cave Creek AZ 07/2026 07/2026
  • 08/2015 → 11/2020
    Tiaa
    Champaign, IL
  • 08/2015 → 11/2020
    Champaign, IL
  • 08/2021 → 06/2026
    Cuna Brokerage Services, Inc
    Waverly, IA
  • 08/2021 → 06/2026
    Alaska Usa Fcu
    Tempe, AZ
  • 11/2020 → 08/2021
    Unemployed
    Phoenix, AZ
  • 05/2022 → 06/2026
    Tempe, AZ
  • 08/2026 → Present
    Cetera Investment Services Llc
    St Cloud, MN
  • 08/2026 → Present
    Cetera Investment Advisors Llc
    Phoenix, AZ
  • 07/2026 → 07/2026
    Unemployed
    Cave Creek, AZ
Previous Registrations
  • 2022-05-18 → 2026-07-22
    Scottsdale, AZ
    Mesa, AZ
    Mesa, AZ
    Scottsdale, AZ
    Glendale, AZ
    Tempe, AZ
  • 2021-08-16 → 2022-05-18
    Cuna Brokerage Services, Inc.
    Tempe, AZ
    Waverly, IA
  • 2015-09-14 → 2020-11-13
    Champaign, IL
  • 2012-10-01 → 2015-08-12
    Salt Lake City, UT
    Salt Lake City, UT
    Salt Lake City, UT
    Salt Lake City, UT
    Salt Lake City, UT
    Salt Lake City, UT
    Salt Lake City, UT
    Taylorsville, UT
    Salt Lake City, UT
    Salt Lake City, UT
    Urbana, IL
    Champaign, IL
  • 2011-03-01 → 2012-10-01
    Chase Investment Services Corp.
    Salt Lake City, UT
    Salt Lake City, UT
    Salt Lake City, UT
    Salt Lake City, UT
    Salt Lake City, UT
    Salt Lake City, UT
    Salt Lake City, UT
    Salt Lake City, UT
    Salt Lake City, UT
Other Businesses

1. ARIZONA CAPITAL MANAGEMENT, DBA FOR CETERA BUSINESS

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2011-02-25
S63 Uniform Securities Agent State Law Examination 2010-01-26
  • S66 Uniform Combined State Law Examination
    2011-02-25
  • S63 Uniform Securities Agent State Law Examination
    2010-01-26
Other Names
  • Robert B Davis
  • Brad Davis

View on SEC IAPD

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