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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
ND RA APPROVED 2025-02-20
  • ND RA
    APPROVED
    Since 2025-02-20

Branch Locations

402 1St Street Nw, Mandan, ND 58554 • 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
Concourse Financial Group Securities Inc Mandan ND 04/2016 02/2025
(Dba) Huck Financial (Schafer Financial Group) Mandan ND 05/2006 Present
Cetera Wealth Services, Llc Mandan ND 02/2025 Present
Cetera Investment Advisers Llc Schaumburg IL 02/2025 Present
  • 04/2016 → 02/2025
    Concourse Financial Group Securities Inc
    Mandan, ND
  • 05/2006 → Present
    (Dba) Huck Financial (Schafer Financial Group)
    Mandan, ND
  • 02/2025 → Present
    Cetera Wealth Services, Llc
    Mandan, ND
  • 02/2025 → Present
    Schaumburg, IL
Previous Registrations
  • 2016-04-18 → 2025-02-20
    Concourse Financial Group Securities, Inc.
    Mandan, ND
    Mandan, ND
    Fargo, ND
    Birmingham, AL
  • 2009-09-04 → 2016-04-28
    Mandan, ND
    New Richmond, WI
    Cincinnati, OH
  • 2009-07-06 → 2009-09-04
    Transamerica Financial Advisors, Inc.
    Mandan, ND
    Mandan, ND
    Mandan, ND
Other Businesses

1) (dba) HUCK FINANCIAL; Investment Related; 402 1st Street NW, P O Box 336, Mandan, ND 58554; Insurance and Financial Services; Producer/Owner; Start Date 10/2019; 160 hours per month with all hours occurring during trading hours; Investments, Retirement & Financial Planning, and Wealth Management. 2) SCHAFER FINANCIAL GROUP; Investment Related; 402 1st Street NW, PO BOX 336, Mandan ND 58554; Holding Company that owns Huck Financial; Owner; Start Date 10/2019; 160 hours per month with all hours per month occurring during trading hours. 3) INDEPENDENT INSURANCE AGENT; Investment Related; 402 1st Street NW, PO BOX 336, Mandan ND 58554; Insurance Sales; Agent; Start Date 2006; 10-15 hours per month with all hours per month occurring during trading hours; Sales and service of life, long term care, and disability insurance products. 4) MANDAN HOCKEY CLUB; Non-investment Related; 905 8th Avenue NW, Mandan, ND 58554; Hockey; Coach; Start Date 01/2006; 5 hours per month with no hours per month during trading hours; Provide curriculum and coach.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2009-05-21
S63 Uniform Securities Agent State Law Examination 2006-05-30
  • S65 Uniform Investment Adviser Law Examination
    2009-05-21
  • S63 Uniform Securities Agent State Law Examination
    2006-05-30

View on SEC IAPD

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