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Cetera Investment Advisers LLC CRD 105644
$257B regulatory AUM 24,019 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2023-08-18 |
Branch Locations
350 Pine Street Suite 130, Beaumont, TX 77701 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Bank Na | Sugar Land | TX | 05/2012 | 10/2019 |
| Wells Fargo Advisors Llc | Sugar Land | TX | 04/2013 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Sugar Land | TX | 11/2016 | 10/2019 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Beaumont | TX | 10/2019 | 08/2023 |
| Hancock Whitney Bank | Beaumont | TX | 08/2023 | Present |
| Cetera Investment Advisers Llc | Beaumont | TX | 08/2023 | Present |
| Cetera Investment Services Llc | Saint Cloud | MN | 08/2023 | Present |
1.) RENTAL PROPERTY, 50% OWNER
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2014-11-24 |
| S63 | Uniform Securities Agent State Law Examination | 2013-06-12 |
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