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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
IA RA APPROVED 2023-06-29
  • IA RA
    APPROVED
    Since 2023-06-29

Branch Locations

1089 Jordan Creek Pkwy Suite 370, West Des Moines, IA 50266 • United States

406 Chruch Street, Exira, IA 50076 • 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
Cetera Wealth Services, Llc El Segundo CA 08/2016 Present
Cetera Advisors Llc St Cloud MN 08/2016 Present
Cetera Financial Specialists Schaumburg IL 08/2016 Present
Girard Securities Inc San Diego CA 08/2016 11/2017
Summit Brokerage Services, Inc. Boca Raton FL 08/2016 Present
Investors Capital Corp Lynnfield MA 08/2016 11/2016
First Allied Securities, Inc. San Diego CA 09/2017 09/2022
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
  • 08/2016 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 08/2016 → Present
    Cetera Advisors Llc
    St Cloud, MN
  • 08/2016 → Present
    Cetera Financial Specialists
    Schaumburg, IL
  • 08/2016 → 11/2017
    Girard Securities Inc
    San Diego, CA
  • 08/2016 → Present
    Summit Brokerage Services, Inc.
    Boca Raton, FL
  • 08/2016 → 11/2016
    Investors Capital Corp
    Lynnfield, MA
  • 09/2017 → 09/2022
    First Allied Securities, Inc.
    San Diego, CA
  • 06/2023 → Present
    Schaumburg, IL
Previous Registrations
  • 2016-08-10 → 2016-10-28
    Girard Securities, Inc.
    W Des Moines, IA
  • 2016-08-10 → 2016-10-18
    Investors Capital Corp.
    West Des Moines, IA
  • 2014-01-28 → 2016-03-01
    Carroll, IA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-01-17
  • S66 Uniform Combined State Law Examination
    2014-01-17

View on SEC IAPD

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