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Cetera Investment Advisers LLC CRD 105644
$257B regulatory AUM 24,019 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2023-08-10 |
Branch Locations
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Securian Financial Services Inc. | St. Paul | MN | 05/2016 | 08/2023 |
| Minnesota Life | St. Paul | MN | 05/2016 | 08/2023 |
| Img Financial Group | Houston | TX | 05/2016 | Present |
| Cetera Wealth Services, Llc | Houston | TX | 08/2023 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 08/2023 | Present |
ARDENT SOLUTIONS POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 03/01/2018 ADDRESS: , Sugarland TX , United States DESCRIPTION: Agent/Broker IMG FINANCIAL GROUP POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 04/01/2018 ADDRESS: , Houston TX , United States DESCRIPTION: Agent/Broker IMG MEDICAL GROUP POSITION: Agent/Broker NATURE: DBA INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 04/01/2018 ADDRESS: , Houston TX , United States DESCRIPTION: Agent/Broker
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2016-09-22 |
| S63 | Uniform Securities Agent State Law Examination | 2015-11-06 |
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