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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
KS RA APPROVED 2024-03-21
MO RA APPROVED 2024-03-21
TX RA APPROVED_RES 2024-03-21
  • KS RA
    APPROVED
    Since 2024-03-21
  • MO RA
    APPROVED
    Since 2024-03-21
  • TX RA
    APPROVED_RES
    Since 2024-03-21

Branch Locations

Lees Summit, MO • United States

7500 College Blvd. Ste 520, Overland Park, KS 66210 • 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
Affinity Asset Management Overland Park KS 03/2013 09/2021
Voices And Kansas City MO 10/2013 10/2021
Client One Securities, Llc Overland Park KS 02/2015 09/2021
Hudson Planning Services, Llc Overland Park KS 10/2021 Present
Cetera Advisors Llc St. Cloud MN 10/2021 Present
Cetera Investment Advisers Llc Schaumburg IL 03/2024 Present
  • 03/2013 → 09/2021
    Affinity Asset Management
    Overland Park, KS
  • 10/2013 → 10/2021
    Voices And
    Kansas City, MO
  • 02/2015 → 09/2021
    Client One Securities, Llc
    Overland Park, KS
  • 10/2021 → Present
    Hudson Planning Services, Llc
    Overland Park, KS
  • 10/2021 → Present
    Cetera Advisors Llc
    St. Cloud, MN
  • 03/2024 → Present
    Schaumburg, IL
Previous Registrations
  • 2015-10-20 → 2021-09-27
    Overland Park, KS
    Overland Park, KS
    Overland Park, KS
    Overland Park, KS
    Overland Park, KS
    Overland Park, KS
    Overland Park, KS
Other Businesses

1) NAME OF OTHER BUSINESS: HUDSON PLANNING SERVICES, LLC; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 10/2021; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 50; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-10-19
  • S66 Uniform Combined State Law Examination
    2015-10-19
Designations
  • Chartered Financial Consultant
Other Names
  • Angela May Lyman

View on SEC IAPD

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