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

Branch Locations

175 S Ridge Rd Ste 400, Mckinney, TX 75071 • 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
Eward Jones St Louis MO 05/2014 10/2022
Cetera Advisors Llc St Cloud MN 10/2022 Present
Cetera Investment Advisers Llc Schaumburg IL 03/2024 Present
  • 05/2014 → 10/2022
    Eward Jones
    St Louis, MO
  • 10/2022 → Present
    Cetera Advisors Llc
    St Cloud, MN
  • 03/2024 → Present
    Schaumburg, IL
Previous Registrations
  • 2014-08-18 → 2022-11-03
    St Louis, MO
    Mckinney, TX
    Princeton, TX
    Princeton, TX
    Mckinney, TX
    Allen, TX
Other Businesses

1. NAME OF OTHER BUSINESS: FEATURED WEALTH, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 10/2022, POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 2. NAME OF OTHER BUSINESS: GIG WORKER SOLUTIONS; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: REFERRALS; START DATE : 09/2023; POSITION/TITLE/RELATIONSHIP: REFERER; APX NUMBER OF HOURS PER WEEK: 10; APX NUMBER OF HOURS DURING TRADING HOURS: 10; BRIEF DESCRIPTION OF DUTIES: REFER SELF EMPLOYED INDIVIDUALS TO GIG WORKER SOLUTIONS FOR SERVICES; 3. NAME OF OTHER BUSINESS: DICKINSON STATE UNIVERSITY HERITAGE FOUNDATION; INVESTMENT RELATED: NO; ADDRESS: 230 8TH AVENUE WEST, DICKINSON, ND 58601; NATURE OF BUSINESS: BOARD; START DATE: 1/2026; POSITION/TITLE/RELATIONSHIP: ELECTED BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: ACTIVE PARTICIPATION IN MEETINGS AND COMMITTEES, AND UPHOLDING ORGANIZATIONAL ETHICS TO ENHANCE THE UNIVERSITY'S VISION;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-08-18
  • S66 Uniform Combined State Law Examination
    2014-08-18
Other Names
  • Warren Robert Foreman
  • Jr Foreman

View on SEC IAPD

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