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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
TX RA APPROVED 2025-03-27
WI RA APPROVED 2022-09-19
  • TX RA
    APPROVED
    Since 2025-03-27
  • WI RA
    APPROVED
    Since 2022-09-19

Branch Locations

675 N Barker Rd, Ste 110, Brookfield, WI 53045 • 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
Johnson Controls Inc. Milwaukee WI 05/2017 08/2017
Ge Healthcare Wauwatosa WI 07/2018 09/2020
Ge Healthcare Wauwatosa WI 09/2020 09/2021
University Of Wisconsin - Madison Madison WI 09/2014 05/2018
Prime Financial Services Brookfield WI 10/2021 Present
First Allied Securities, Inc. San Diego CA 02/2022 09/2022
Cetera Advisors Llc St Cloud MN 09/2022 Present
Prime Financial Services Brookfield WI 05/2023 Present
Cetera Investment Advisers Llc Schaumburg IL 09/2022 Present
  • 05/2017 → 08/2017
    Johnson Controls Inc.
    Milwaukee, WI
  • 07/2018 → 09/2020
    Ge Healthcare
    Wauwatosa, WI
  • 09/2020 → 09/2021
    Ge Healthcare
    Wauwatosa, WI
  • 09/2014 → 05/2018
    University Of Wisconsin - Madison
    Madison, WI
  • 10/2021 → Present
    Prime Financial Services
    Brookfield, WI
  • 02/2022 → 09/2022
    First Allied Securities, Inc.
    San Diego, CA
  • 09/2022 → Present
    Cetera Advisors Llc
    St Cloud, MN
  • 05/2023 → Present
    Prime Financial Services
    Brookfield, WI
  • 09/2022 → Present
    Schaumburg, IL
Other Businesses

1) NAME OF OTHER BUSINESS: PRIME FINANCIAL SERVICES; INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 5/2023, POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL, 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: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 11/2023; APX NUMBER OF HOURS PER WEEK: 0; APX NUMBER OF HOURS DURING TRADING HOURS: 0; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, FIXED ANNUITIES AND LONG-TERM CARE; 3) NAME OF OTHER BUSINESS: PRIME FINANCIAL SERVICES; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: TAX PREPARATION; START DATE: 10/2021; POSITION/TITLE/RELATIONSHIP: TAX PREPARER; APX NUMBER OF HOURS PER WEEK: 20; APX NUMBER OF HOURS DURING TRADING HOURS: 20; BRIEF DESCRIPTION OF DUTIES: TAX PREPARATION; 4) NAME OF OTHER BUSINESS: NOTARY PUBLIC COMMISSION; INVESTMENT RELATED: NO ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: NOTARIZING DOCUMENTS ; START DATE: 11/2022; POSITION/TITLE/RELATIONSHIP: NOTARY ; APX NUMBER OF HOURS PER WEEK: 1 ; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: NOTARIZING DOCUMENTS ; 5) NAME OF OTHER BUSINESS: LORI LINS LTD, INVESTMENT RELATED: NO, ADDRESS: 233 N. WATER ST, STE 450, MILWAUKEE, WI 53202, NATURE OF BUSINESS: TALENT AGENCY, START DATE: 10/2024, POSITION/TITLE/RELATIONSHIP: ACTOR/MODEL, APX NUMBER OF HOURS PER WEEK: VARIES, APX NUMBER OF HOURS DURING TRADING HOURS: VARIES, BRIEF DESCRIPTION OF DUTIES: PHOTO SHOOTS, PRINT WORK, RADIO/FILM PROJECTS;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-08-31
  • S66 Uniform Combined State Law Examination
    2022-08-31
Designations

View on SEC IAPD

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