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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
AR RA APPROVED 2025-09-05
  • AR RA
    APPROVED
    Since 2025-09-05

Branch Locations

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • 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 No
  • Bankruptcy Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Pruitt Financial Servcies, Llc Bald Knob AR 03/2021 Present
Frost, Pllc Little Rock AR 09/2019 02/2021
Rosswood Farms Llc Mccrory AR 01/2017 09/2019
Helena Chemical Co Wynne AR 06/2014 11/2016
Unemployment Mccrory AR 11/2016 01/2017
Unemployment Mccrory AR 02/2021 03/2021
Arcare Augusta AR 03/2021 Present
The Pruitt Agency, Incorporated Bald Knob AR 10/2022 Present
Avantax Investment Services Inc. Bald Knob AR 09/2023 09/2025
Avantax Insurance Agency, Llc Bald Knob AR 09/2023 09/2025
Avantax Advisory Services Bald Knob AR 09/2023 09/2025
Gemini Management, Llc Mccrory AR 04/2021 Present
Cetera Wealth Services, Llc El Segundo CA 09/2025 Present
Cetera Investment Advisers Llc Schaumburg IL 09/2025 Present
  • 03/2021 → Present
    Pruitt Financial Servcies, Llc
    Bald Knob, AR
  • 09/2019 → 02/2021
    Frost, Pllc
    Little Rock, AR
  • 01/2017 → 09/2019
    Rosswood Farms Llc
    Mccrory, AR
  • 06/2014 → 11/2016
    Helena Chemical Co
    Wynne, AR
  • 11/2016 → 01/2017
    Unemployment
    Mccrory, AR
  • 02/2021 → 03/2021
    Unemployment
    Mccrory, AR
  • 03/2021 → Present
    Arcare
    Augusta, AR
  • 10/2022 → Present
    The Pruitt Agency, Incorporated
    Bald Knob, AR
  • 09/2023 → 09/2025
    Avantax Investment Services Inc.
    Bald Knob, AR
  • 09/2023 → 09/2025
    Avantax Insurance Agency, Llc
    Bald Knob, AR
  • 09/2023 → 09/2025
    Avantax Advisory Services
    Bald Knob, AR
  • 04/2021 → Present
    Gemini Management, Llc
    Mccrory, AR
  • 09/2025 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 09/2025 → Present
    Schaumburg, IL
Previous Registrations
  • 2023-09-15 → 2025-09-05
    Avantax Advisory Services
    Bald Knob, AR
    Dallas, TX
  • 2022-12-13 → 2023-09-14
    Pruitt Investment Advisors Llc
    Bald Knob, AR
Other Businesses

1) PRUITT FINANCIAL SERVICES, LLC POSITION: Tax Preparer NATURE: Tax Preparation, Bookkeeping, Payroll Services, Business Consulting, Business Entity Formation INVESTMENT RELATED: Yes NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 3 START DATE: 02/16/2022 ADDRESS: PO Box 1326, Bald Knob AR 72010, United States DESCRIPTION: Review all tax returns. Review monthly financials for all Bookkeeping clients. File monthly tax payments for Payroll clients. Supervise all staff on daily basis. File corporate documents to form business entities for clients 2) AVANTAX INSURANCE AGENCY AND/OR AVANTAX INSURANCE SERVICES POSITION: Insurance Agent NATURE: Selling insurance products through Avantax INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 10 START DATE: 09/29/2023 ADDRESS: PO Box 1326, 3413 Hwy 367 N, Bald Knob AR 72010, United States DESCRIPTION: Provide clients with knowledge about the insurance products offered through Avantax. Offer the proper insurance products to the client that meet their needs. Promote insurance products as an investment tool and resource to the client 3) GEMINI MANAGEMENT, LLC POSITION: Officer NATURE: Consulting for Residential & Commercial Contractors, Residential Construction and blueprints, Financial reviews and compilations INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 04/07/2021 ADDRESS: PO Box 116, McCrory AR 72101, United States DESCRIPTION: Review and advise contractors on applications and financials for residential and commercial contractors, Design house plans for Residential construction. Contract Residential construction of homes for individuals 4) THE PRUITT AGENCY, INCORPORATED POSITION: Insurance Sales Agent NATURE: P & C insurance products (Property Insurance, Commercial Insurance, General Liability Insurance, Workman's Compensation Insurance)Health & Life Insurance products. Crop Insurance products. supplemental Insurance products. E & O insurance products INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 5 START DATE: 10/31/2022 ADDRESS: PO Box 1326, 3413 Hwy 367 N, Bald Knob AR 72010, United States DESCRIPTION: Manage and oversee the Financial Services company that is a subsidiary of The Pruitt Agency, Inc. It offers the following services. Tax Preparation Bookkeeping, Payroll Services, Business Consulting, Business Entity Formation. Any future traditional life, long-term care, and disability insurance activity will solely be directed through Avantax Insurance Agency, LLC, while any (list P&C insurance products given in answer to Question 4) and health insurance activity may continue with Pruitt Agency, Incorporated.? 5) ARCARE POSITION: Corporate Accountant NATURE: Healthcare provider. Behavior health services, Pharmacy services, Chronic care provider, Health screenings. Immunizations INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 03/01/2021 ADDRESS: PO Box 497, 117 N 2nd St, Augusta AR 72006, United States DESCRIPTION: Serve on the investment committee. Right now there are no selections on investment or advisor related matters nor will I vote in the future on any investment or advisor related matters. Serve as corporate accountant - tax division, work with Finance Director corporate controller to review monthly financial statements for BOD. Work with controller on corporate filing compliance. Assist CFO on financial analysis of the different departments on ARCARE

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2021-10-08
S65 Uniform Investment Adviser Law Examination 2021-09-25
  • S63 Uniform Securities Agent State Law Examination
    2021-10-08
  • S65 Uniform Investment Adviser Law Examination
    2021-09-25
Other Names
  • Jordan Rudick

View on SEC IAPD

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