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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 |
|---|---|---|---|
| NJ | RA | APPROVED | 2024-03-21 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Em Winters Financial Services | Washington | NJ | 06/2005 | Present |
| Cetera Advisors Llc | Denver | CO | 11/2013 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 03/2024 | Present |
1. EM WINTERS FINANCIAL SERVICES, INVESTMENT RELATED, ADDRESS IS SAME AS REGISTERED LOCATION, INVESTMENT SERVICES, START NOVEMBER 2005, 40 HOURS PER WEEK - DURING TRADING HOURS, ASSOCIATE. 2. NAME OF OTHER BUSINESS: NOTARY PUBLIC; INVESTMENT RELATED: NO; ADDRESS: 58 EAST WASHINGTON AVE, WASHINGTON, NJ 07882; NATURE OF BUSINESS: NOTARY PUBLIC; START DATE: 10/2006; 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: NOTARY SERVICES;
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2014-10-09 |
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