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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
NE RA APPROVED 2020-11-12
TX RA APPROVED_RES 2020-11-12
  • NE RA
    APPROVED
    Since 2020-11-12
  • TX RA
    APPROVED_RES
    Since 2020-11-12

Branch Locations

650 J Street, Suite 405 Mill Towne Building, Lincoln, NE 68508 • 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 No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination Yes
Employment History
OrganizationCityStateFromTo
Horace Mann Springfield IL 08/2010 02/2019
First Allied Securities, Inc San Diego CA 08/2019 09/2022
Crosslink Insurance Group Lincoln NE 03/2019 Present
First Allied Advisory Services, Inc. San Diego CA 09/2019 11/2020
Cetera Investment Advisers Llc Schaumburg IL 11/2020 Present
Cetera Advisors Llc Lincoln NE 09/2022 Present
Jim Budde & Associates Lincoln NE 01/2026 Present
  • 08/2010 → 02/2019
    Horace Mann
    Springfield, IL
  • 08/2019 → 09/2022
    First Allied Securities, Inc
    San Diego, CA
  • 03/2019 → Present
    Crosslink Insurance Group
    Lincoln, NE
  • 09/2019 → 11/2020
    First Allied Advisory Services, Inc.
    San Diego, CA
  • 11/2020 → Present
    Schaumburg, IL
  • 09/2022 → Present
    Cetera Advisors Llc
    Lincoln, NE
  • 01/2026 → Present
    Jim Budde & Associates
    Lincoln, NE
Previous Registrations
  • 2019-09-04 → 2020-11-12
    First Allied Advisory Services, Inc.
    Lincoln, NE
Other Businesses

1) Insurance; Agent; Insurance(Fixed/Life/Health/P&C); Start date 03/01/2019; 12 hours per month. 2) NAME OF OTHER BUSINESS: N/A; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: OFFICE SUB-LEASE; START DATE: 1/2000; POSITION/TITLE/RELATIONSHIP: N/A; APX NUMBER OF HOURS PER WEEK: 0; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: COLLECT RENT CHECKS TO MAKE A SINGLE MONTHLY PAYMENT TO BUILDING OWNER; 3) NAME OF OTHER BUSINESS: JIM BUDDE & ASSOCIATES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 01/2026; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2018-09-17
S63 Uniform Securities Agent State Law Examination 2011-03-31
  • S65 Uniform Investment Adviser Law Examination
    2018-09-17
  • S63 Uniform Securities Agent State Law Examination
    2011-03-31

View on SEC IAPD

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