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Employer firm

Cetera Investment Advisers LLC CRD 105644

$257B regulatory AUM 24,019 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers
Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

AuthorityCategoryStatusDate
MO RA APPROVED 2024-11-21
KS RA APPROVED 2023-08-10
  • MO RA
    APPROVED
    Since 2024-11-21
  • KS RA
    APPROVED
    Since 2023-08-10

Branch Locations

7500 College Blvd Ste 800, Overland Park, KS 66210 • United States

Prairie Village, KS • 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 12/2022 08/2023
Minnesota Life Insurance Company St. Paul MN 12/2022 08/2023
Renaissance Financial Overland Park KS 12/2022 Present
University Of Kansas Lawrence KS 05/2018 Present
Rockhurst High School Kansas City MO 05/2014 05/2018
Chief Of Staff Kc Kansas City MO 05/2021 08/2021
Securian Financial Services Inc. St. Paul MN 11/2022 12/2022
Renaissance Financial Overland Park KS 11/2022 12/2022
Cetera Wealth Services, Llc Overland Park KS 08/2023 Present
Cetera Investment Advisers Llc Schaumburg IL 08/2023 Present
  • 12/2022 → 08/2023
    Securian Financial Services Inc.
    St. Paul, MN
  • 12/2022 → 08/2023
    Minnesota Life Insurance Company
    St. Paul, MN
  • 12/2022 → Present
    Renaissance Financial
    Overland Park, KS
  • 05/2018 → Present
    University Of Kansas
    Lawrence, KS
  • 05/2014 → 05/2018
    Rockhurst High School
    Kansas City, MO
  • 05/2021 → 08/2021
    Chief Of Staff Kc
    Kansas City, MO
  • 11/2022 → 12/2022
    Securian Financial Services Inc.
    St. Paul, MN
  • 11/2022 → 12/2022
    Renaissance Financial
    Overland Park, KS
  • 08/2023 → Present
    Cetera Wealth Services, Llc
    Overland Park, KS
  • 08/2023 → Present
    Schaumburg, IL
Previous Registrations
  • 2023-05-11 → 2023-08-10
    Securian Financial Services, Inc.
    Overland Park, KS
    St. Paul, MN
Other Businesses

1. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: December 2022 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SALES OF FIXED INSURANCE PRODUCTS 2. NAME OF OTHER BUSINESS: RENAISSANCE FINANCIAL INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: November 2022 POSITION/TITLE/RELATIONSHIP: Financial Advisor APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: OFFER SECURITIES, INSURANCE AND ADVISORY SERVICES

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-04-26
  • S66 Uniform Combined State Law Examination
    2023-04-26

View on SEC IAPD

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