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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
TX RA APPROVED_RES 2023-01-24
VA RA APPROVED 2022-03-09
  • TX RA
    APPROVED_RES
    Since 2023-01-24
  • VA RA
    APPROVED
    Since 2022-03-09

Branch Locations

1577 Spring Hill Rd Ste 520, Vienna, VA 22182 • United States

Alexandria, VA • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Foresters Financial Services Silver Springs MD 08/2015 07/2018
Foresters Advisory Services Llc Silver Springs MD 03/2016 06/2019
Foresters Financial Services Silver Spring MD 07/2018 06/2019
Cetera Investment Services Llc St Cloud MN 06/2019 Present
Cetera Investment Advisers Llc Silver Spring MD 06/2019 Present
  • 08/2015 → 07/2018
    Foresters Financial Services
    Silver Springs, MD
  • 03/2016 → 06/2019
    Foresters Advisory Services Llc
    Silver Springs, MD
  • 07/2018 → 06/2019
    Foresters Financial Services
    Silver Spring, MD
  • 06/2019 → Present
    Cetera Investment Services Llc
    St Cloud, MN
  • 06/2019 → Present
    Silver Spring, MD
Previous Registrations
  • 2016-04-28 → 2019-06-25
    Foresters Advisory Services, Llc
    Silver Springs, MD
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2016-03-28
S63 Uniform Securities Agent State Law Examination 2014-03-26
  • S65 Uniform Investment Adviser Law Examination
    2016-03-28
  • S63 Uniform Securities Agent State Law Examination
    2014-03-26

View on SEC IAPD

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