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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
OK RA APPROVED 2024-03-21
TX RA APPROVED 2024-03-21
  • OK RA
    APPROVED
    Since 2024-03-21
  • TX RA
    APPROVED
    Since 2024-03-21

Branch Locations

224 E 3Rd St, Grove, OK 74344 • 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
Bok Financial Securities, Inc. Grove OK 08/2016 07/2018
Bokf, Na Grove OK 08/2016 07/2018
Cetera Advisors Llc Denver CO 07/2018 Present
Cetera Investment Advisers Llc Schaumburg IL 03/2024 Present
  • 08/2016 → 07/2018
    Bok Financial Securities, Inc.
    Grove, OK
  • 08/2016 → 07/2018
    Bokf, Na
    Grove, OK
  • 07/2018 → Present
    Cetera Advisors Llc
    Denver, CO
  • 03/2024 → Present
    Schaumburg, IL
Other Businesses

1. N/A, NOT INVESTMENT RELATED, 23401 S 690 RD, WYANDOTTE, OK 74870, FAMILY RANCH, STARTED 07/2018, POSITION/TITLE/RELATIONSHIP: OPERATIONS, APX 20 HOURS PER WEEK, MAY BE DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: DAY TO DAY MAINTENANCE OF FARM 2.FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED, SAME AS REGISTERED LOCATION, FIXED INSURANCE, START DATE 09/2019, NSURANCE AGENT, APX NUMBER OF HOURS PER WEEK: VARIES, APX NUMBER OF HOURS DURING TRADING HOURS: VARIES, SELLS LIFE, AND LONG TERM CARE 3. NAME OF OTHER BUSINESS: TAURUS INVESTMENTS LLC; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 10/2020; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 40; 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 2018-09-26
S63 Uniform Securities Agent State Law Examination 2015-03-11
  • S66 Uniform Combined State Law Examination
    2018-09-26
  • S63 Uniform Securities Agent State Law Examination
    2015-03-11

View on SEC IAPD

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