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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
IL RA APPROVED 2023-06-29
TX RA APPROVED_RES 2023-06-29
  • IL RA
    APPROVED
    Since 2023-06-29
  • TX RA
    APPROVED_RES
    Since 2023-06-29

Branch Locations

555 S Randall Rd Ste 103, St Charles, IL 60174 • 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
The Humke Group, Inc St. Charles IL 04/2014 Present
Cetera Wealth Services, Llc El Segundo CA 09/2019 Present
Summit Financial Group St Charles IL 09/2019 05/2021
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
  • 04/2014 → Present
    The Humke Group, Inc
    St. Charles, IL
  • 09/2019 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 09/2019 → 05/2021
    Summit Financial Group
    St Charles, IL
  • 06/2023 → Present
    Schaumburg, IL
Previous Registrations
  • 2017-09-05 → 2021-05-20
    Summit Financial Group Inc
    St Charles, IL
Other Businesses

1. NAME OF OTHER BUSINESS: THE HUMKE GROUP INC.; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 04/2014; POSITION/TITLE/RELATIONSHIP: SENIOR ANALYST; APX NUMBER OF HOURS PER WEEK: 50; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: FINANCIAL SERVICES, ASSIST CLIENTS WITH INVESTMENTS; 2. NAME OF OTHER BUSINESS: NOTARY PUBLIC; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: NOTARY PUBLIC; START DATE: 2016; POSITION/TITLE/RELATIONSHIP: NOTARY PUBLIC; APX NUMBER OF HOURS PER WEEK: LESS THAN 1; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1; BRIEF DESCRIPTION OF DUTIES: NOTARIZE DOCUMENTS;

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2017-09-01
S63 Uniform Securities Agent State Law Examination 2015-09-11
  • S65 Uniform Investment Adviser Law Examination
    2017-09-01
  • S63 Uniform Securities Agent State Law Examination
    2015-09-11

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