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Adam David Gooley

Cetera Investment Advisers LLC

St Paul, MN

Dayton, MN

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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
TX RA APPROVED_RES 2023-09-01
MN RA APPROVED 2023-08-10
  • TX RA
    APPROVED_RES
    Since 2023-09-01
  • MN RA
    APPROVED
    Since 2023-08-10

Branch Locations

400 Robert St N Ste 800, St Paul, MN 55101 • United States

Dayton, MN • 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
Minnesota Life Ins Co St Paul MN 04/2015 08/2023
Securian Financial Services, Inc St Paul MN 07/2015 08/2023
Cri Securities, Llc St Paul MN 08/2015 10/2021
Cetera Wealth Services, Llc El Segundo CA 08/2023 Present
Cetera Investment Advisers Llc Schaumburg IL 08/2023 Present
Cetera Advisors Llc St. Cloud MN 08/2023 Present
  • 04/2015 → 08/2023
    Minnesota Life Ins Co
    St Paul, MN
  • 07/2015 → 08/2023
    Securian Financial Services, Inc
    St Paul, MN
  • 08/2015 → 10/2021
    Cri Securities, Llc
    St Paul, MN
  • 08/2023 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 08/2023 → Present
    Cetera Investment Advisers Llc
    Schaumburg, IL
  • 08/2023 → Present
    Cetera Advisors Llc
    St. Cloud, MN
Previous Registrations
  • 2017-04-03 → 2023-08-10
    Securian Financial Services, Inc.
    St Paul, MN
  • 2017-04-03 → 2021-11-08
    Cri Securities, Llc
    St Paul, MN
  • 2014-11-24 → 2015-04-30
    Equitable Advisors, Llc
    Plymouth, MN
    Minneapolis, MN
    Minneapolis, MN
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-11-10
  • S66 Uniform Combined State Law Examination
    2014-11-10
Other Names
  • Adam Gooley

View on SEC IAPD

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HILLTOP SECURITIES INC.
WELLS FARGO CLEARING SERVICES, LLC
CAPTRUST

Other Investors

HEATHER FITCH RADCLIFF
CHRISTOPHER J SCHWARTZ
JAMES P. SHAFER
MICHAEL BRIAN BLOCK
Kathryn Marie Viste
Creighton Silvain
Thomas Running
DOUGLAS JAMES BRUCE

Other Offices

UBS FINANCIAL SERVICES INC. · ST PAUL, MN
CLEARWATER MANAGEMENT CO., INC. · ST PAUL, MN
FIDUCIARY COUNSELLING INC · ST PAUL, MN
MAIRS & POWER · ST. PAUL, MN
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · SAINT PAUL, MN
HILLTOP SECURITIES INC. · St. Paul, MN
WELLS FARGO CLEARING SERVICES, LLC · SAINT PAUL, MN
CAPTRUST · ST. PAUL, MN

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