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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 2026-01-05
IL RA APPROVED 2025-05-21
  • TX RA
    APPROVED
    Since 2026-01-05
  • IL RA
    APPROVED
    Since 2025-05-21

Branch Locations

600 Greenbay Road, Kenilworth, IL 60043 • 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
Citigroup Derivatives Markets Inc. Minnetonka MN 10/2004 06/2017
Akuna Capital Llc Chicago IL 09/2017 10/2018
Pnt Financial Chicago IL 12/2018 01/2025
Cetera Advisors Llc St Cloud MN 05/2025 Present
Unemployed Chicago IL 06/2017 09/2017
Unemployed Chicago IL 01/2025 05/2025
Cetera Investment Advisers Schaumburg IL 05/2025 Present
  • 10/2004 → 06/2017
    Citigroup Derivatives Markets Inc.
    Minnetonka, MN
  • 09/2017 → 10/2018
    Akuna Capital Llc
    Chicago, IL
  • 12/2018 → 01/2025
    Pnt Financial
    Chicago, IL
  • 05/2025 → Present
    Cetera Advisors Llc
    St Cloud, MN
  • 06/2017 → 09/2017
    Unemployed
    Chicago, IL
  • 01/2025 → 05/2025
    Unemployed
    Chicago, IL
  • 05/2025 → Present
    Cetera Investment Advisers
    Schaumburg, IL
Other Businesses

1. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 02/2025; APX NUMBER OF HOURS PER WEEK: 5; APX NUMBER OF HOURS DURING TRADING HOURS: 1; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SALES OF FIXED INSURANCE PRODUCTS; 2. NAME OF OTHER BUSINESS: NORTH SHORE ICE ARENA LLC; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: NORTHBROOK, IL 60062; START DATE: 12/2024; POSITION/TITLE/RELATIONSHIP: PRESIDENT; APX NUMBER OF HOURS PER WEEK: 3; APX NUMBER OF HOURS DURING TRADING HOURS: NONE; BRIEF DESCRIPTION OF DUTIES: SIT ON A BOARD WITH FIVE OTHER REPRESENTATIVES FROM 2 LOCAL NON-PROFIT HOCKEY CLUBS THAT CO-OWN THE RINK AND MAKE DECISIONS; 3. NAME OF OTHER BUSINESS: THE ASSOCIATES GROUP; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL PLANNING; START DATE: 01/2025; POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL; APX NUMBER OF HOURS PER WEEK: 50; APX NUMBER OF HOURS DURING TRADING HOURS: 50; BRIEF DESCRIPTION OF DUTIES: FINANCIAL PROFESSIONAL;

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2025-05-19
S65 Uniform Investment Adviser Law Examination 2025-02-12
  • S63 Uniform Securities Agent State Law Examination
    2025-05-19
  • S65 Uniform Investment Adviser Law Examination
    2025-02-12

View on SEC IAPD

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