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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
MD RA APPROVED 2023-08-10
  • MD RA
    APPROVED
    Since 2023-08-10

Branch Locations

2101 Gaither Rd Ste 600, Rockville, MD 20850 • 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 Insurance Company St. Paul MN 08/2016 06/2021
Securian Financial Services Inc. St. Paul MN 08/2016 06/2021
Financial Advantage Associates St. Paul MN 08/2016 06/2021
Financial Advantage Associates Rockville MD 07/2021 Present
Securian Financial Services Saint Paul MN 07/2021 08/2023
Cetera Wealth Services, Llc Rockville MD 08/2023 Present
Cetera Investment Advisers Llc Schaumburg IL 08/2023 Present
  • 08/2016 → 06/2021
    Minnesota Life Insurance Company
    St. Paul, MN
  • 08/2016 → 06/2021
    Securian Financial Services Inc.
    St. Paul, MN
  • 08/2016 → 06/2021
    Financial Advantage Associates
    St. Paul, MN
  • 07/2021 → Present
    Financial Advantage Associates
    Rockville, MD
  • 07/2021 → 08/2023
    Securian Financial Services
    Saint Paul, MN
  • 08/2023 → Present
    Cetera Wealth Services, Llc
    Rockville, MD
  • 08/2023 → Present
    Schaumburg, IL
Previous Registrations
  • 2016-11-03 → 2023-08-10
    Securian Financial Services, Inc.
    Rockville, MD
    St. Paul, MN
Other Businesses

1) NAME OF OTHER BUSINESS: FINANCIAL ADVANTAGE ASSOCIATES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 08/2016 POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: PROVIDE FINANCIAL SERVICES TO CLIENTS OF THE FIRM;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-10-27
  • S66 Uniform Combined State Law Examination
    2016-10-27

View on SEC IAPD

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