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

Branch Locations

2701 University Avenue Se, Minneapolis, MN 55414 • United States

Woodbury, 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
Securian Financial Services Inc. St. Paul MN 11/2016 08/2023
Cri Securities Llc St. Paul MN 11/2016 10/2021
North Star Financial Minneapolis MN 10/2014 Present
Cetera Wealth Services, Llc Minneapolis MN 08/2023 Present
Cetera Investment Advisers Llc Schaumburg IL 08/2023 Present
  • 11/2016 → 08/2023
    Securian Financial Services Inc.
    St. Paul, MN
  • 11/2016 → 10/2021
    Cri Securities Llc
    St. Paul, MN
  • 10/2014 → Present
    North Star Financial
    Minneapolis, MN
  • 08/2023 → Present
    Cetera Wealth Services, Llc
    Minneapolis, MN
  • 08/2023 → Present
    Schaumburg, IL
Previous Registrations
  • 2018-08-14 → 2023-08-10
    Securian Financial Services, Inc.
    Minneapolis, MN
    Woodbury, MN
  • 2018-08-14 → 2021-10-25
    Cri Securities, Llc
    Minneapolis, MN
Other Businesses

1. NOTARY PUBLIC POSITION: Independent Contractor NATURE: Notary Public INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 07/01/2017 ADDRESS: , Woodbury MN , United States DESCRIPTION: Independent Contractor 2. THE VITALITY GROUP POSITION: Employee NATURE: DBA INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 12/01/2016 ADDRESS: , Minneapolis MN , United States DESCRIPTION: Employee; 3. NAME OF OTHER BUSINESS: THE MARFRAN FOUNDATION; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: BOARD; START DATE: 8/2024; POSITION/TITLE/RELATIONSHIP: VOLUNTEER/COMMITTEE MEMBER; APX NUMBER OF HOURS PER WEEK: 5; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: MEDICAL RESEARCH AND AWARENESS;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-07-18
  • S66 Uniform Combined State Law Examination
    2018-07-18
Other Names
  • Mary Margaret Miller

View on SEC IAPD

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