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

Branch Locations

10261 Yellow Circle Dr, Minnetonka, MN 55330 • United States

Disclosures

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.

  • Regulatory action No
  • Criminal Yes
  • 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 12/2013 08/2023
Cri Securities, Llc St Paul MN 12/2013 10/2021
Minnesota Life Insurance Company St Paull MN 12/2013 08/2023
Cetera Wealth Services, Llc Minnetonka MN 08/2023 Present
Cetera Investment Advisers Llc Schaumburg IL 08/2023 Present
Dap Advisory Minnetonka MN 03/2025 Present
  • 12/2013 → 08/2023
    Securian Financial Services, Inc
    St Paul, MN
  • 12/2013 → 10/2021
    Cri Securities, Llc
    St Paul, MN
  • 12/2013 → 08/2023
    Minnesota Life Insurance Company
    St Paull, MN
  • 08/2023 → Present
    Cetera Wealth Services, Llc
    Minnetonka, MN
  • 08/2023 → Present
    Schaumburg, IL
  • 03/2025 → Present
    Dap Advisory
    Minnetonka, MN
Previous Registrations
  • 2014-01-13 → 2023-08-10
    Securian Financial Services, Inc.
    Minnetonka, MN
    St. Paul, MN
  • 2014-01-16 → 2021-10-20
    Cri Securities, Llc
    Minnetonka, MN
Other Businesses

1. FORTUNE FINANCIAL LLC POSITION: Agent/Broker NATURE: DBA INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 09/01/2017 ADDRESS: , Minnetonka MN , United States DESCRIPTION: Agent/Broker 2. NORTH STAR CONSULTANTS & NORTH STAR BROKERAGE POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 06/01/2016 ADDRESS: , Minneapolis MN , United States DESCRIPTION: Agent/Broker; 3. NAME OF OTHER BUSINESS: DAP ADVISORY, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: EXPENSE MANAGEMENT, START DATE: 03/2025, POSITION/TITLE/RELATIONSHIP: OWNER, APX NUMBER OF HOURS PER WEEK: 25, APX NUMBER OF HOURS DURING TRADING HOURS: 35, BRIEF DESCRIPTION OF DUTIES: CONTROL AND SIMPLIFY CASH FLOW AND TAXES;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-07-29
  • S66 Uniform Combined State Law Examination
    2006-07-29
Designations

View on SEC IAPD

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