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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:

Current Employers
Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

AuthorityCategoryStatusDate
CO RA APPROVED 2024-02-29
  • CO RA
    APPROVED
    Since 2024-02-29

Branch Locations

14145 Millhaven Place, Colorado Springs, CO 80908 • United States

Colorado Springs, CO • 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
Strategic Financial Partners Colorado Springs CO 11/2014 08/2023
Cetera Wealth Services, Llc El Segundo CA 08/2023 Present
Img Financial Group, Inc. Colorado Springs CO 08/2023 Present
Cetera Investment Advisers Llc Schaumburg IL 02/2024 Present
Evershore Financial Group Colorado Springs CO 08/2024 Present
Omni Financial Services Colorado Springs CO 01/2024 Present
  • 11/2014 → 08/2023
    Strategic Financial Partners
    Colorado Springs, CO
  • 08/2023 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 08/2023 → Present
    Img Financial Group, Inc.
    Colorado Springs, CO
  • 02/2024 → Present
    Schaumburg, IL
  • 08/2024 → Present
    Evershore Financial Group
    Colorado Springs, CO
  • 01/2024 → Present
    Omni Financial Services
    Colorado Springs, CO
Other Businesses

1) NAME OF OTHER BUSINESS: EVERSHORE FINANCIAL GROUP; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 08/2024; POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL; APX NUMBER OF HOURS PER WEEK: 15; APX NUMBER OF HOURS DURING TRADING HOURS: 15; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 2) NAME OF OTHER BUSINESS: OMNI FINANCIAL SERVICES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 01/2024; POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL; APX NUMBER OF HOURS PER WEEK: 15; APX NUMBER OF HOURS DURING TRADING HOURS: 15; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 3) NAME OF OTHER BUSINESS: IMG FINANCIAL GROUP; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 08/2024; POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL; APX NUMBER OF HOURS PER WEEK: 10; APX NUMBER OF HOURS DURING TRADING HOURS: 10; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-02-20
  • S66 Uniform Combined State Law Examination
    2024-02-20
Other Names
  • Cynthia Louise Plush

View on SEC IAPD

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