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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
CO RA APPROVED 2023-06-29
  • CO RA
    APPROVED
    Since 2023-06-29

Branch Locations

8471 Turnpike Dr Ste 115, Westminster, CO 80031 • United States

Aurora, CO • 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
Charles Schwab & Co., Inc. Lone Tree CO 10/2014 01/2019
Unemployed- Travel, Parenting, Job Search Aurora CO 01/2019 12/2019
Transamerica Corporation Denver CO 01/2020 06/2020
Unemployed - Searching Aurora CO 06/2020 08/2020
Cetera Wealth Services, Llc El Segundo CA 08/2020 Present
Fox-Smith Wealth Management Westminster CO 08/2020 03/2022
Fox-Smith Wealth Management Westminster CO 04/2022 09/2022
Fs Advisors Wealth Management Westminster CO 09/2022 Present
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
Emcee Services Ltd Westminster CO 01/2025 Present
  • 10/2014 → 01/2019
    Lone Tree, CO
  • 01/2019 → 12/2019
    Unemployed- Travel, Parenting, Job Search
    Aurora, CO
  • 01/2020 → 06/2020
    Transamerica Corporation
    Denver, CO
  • 06/2020 → 08/2020
    Unemployed - Searching
    Aurora, CO
  • 08/2020 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 08/2020 → 03/2022
    Fox-Smith Wealth Management
    Westminster, CO
  • 04/2022 → 09/2022
    Fox-Smith Wealth Management
    Westminster, CO
  • 09/2022 → Present
    Fs Advisors Wealth Management
    Westminster, CO
  • 06/2023 → Present
    Schaumburg, IL
  • 01/2025 → Present
    Emcee Services Ltd
    Westminster, CO
Previous Registrations
Other Businesses

1. NAME OF OTHER BUSINESS: FS ADVISORS WEALTH MANAGEMENT; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 09/2022; POSITION/TITLE/RELATIONSHIP: EXECUTIVE ASSISTANT/DIRECTOR OF COMMUNICATIONS; 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: N/A; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: NOTARY PUBLIC START DATE: 3/2022 POSITION/TITLE/RELATIONSHIP: NOTARY PUBLIC; APX NUMBER OF HOURS PER WEEK: UP TO 5; APX NUMBER OF HOURS DURING TRADING HOURS: UP TO 5; BRIEF DESCRIPTION OF DUTIES: NOTARIZING DOCUMENTS; 3. NAME OF OTHER BUSINESS: EMCEE SERVICES LTD., INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: EXPENSE MANAGEMENT, START DATE: 01/2025 , POSITION/TITLE/RELATIONSHIP: OWNER, APX NUMBER OF HOURS PER WEEK: 10, APX NUMBER OF HOURS DURING TRADING HOURS: 10, BRIEF DESCRIPTION OF DUTIES: ESTABLISHED TO REPORT 1099 INCOME;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-01-08
S63 Uniform Securities Agent State Law Examination 2015-02-27
  • S66 Uniform Combined State Law Examination
    2018-01-08
  • S63 Uniform Securities Agent State Law Examination
    2015-02-27

View on SEC IAPD

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