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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
DE RA APPROVED 2023-08-10
  • DE RA
    APPROVED
    Since 2023-08-10

Branch Locations

900 Prides Crossing, Newark, DE 19713 • 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
Dutch-Way Farm Market Gap PA 08/2005 05/2023
Diamond State Financial Group Newark DE 02/2023 Present
Minnesota Life Insurance Company Saint Paul MN 02/2023 08/2023
Securian Financial Service Saint Paul MN 02/2023 08/2023
Cetera Wealth Services, Llc Newark DE 08/2023 Present
Cetera Investment Advisers Llc Schaumburg IL 08/2023 Present
  • 08/2005 → 05/2023
    Dutch-Way Farm Market
    Gap, PA
  • 02/2023 → Present
    Diamond State Financial Group
    Newark, DE
  • 02/2023 → 08/2023
    Minnesota Life Insurance Company
    Saint Paul, MN
  • 02/2023 → 08/2023
    Securian Financial Service
    Saint Paul, MN
  • 08/2023 → Present
    Cetera Wealth Services, Llc
    Newark, DE
  • 08/2023 → Present
    Schaumburg, IL
Previous Registrations
  • 2023-06-12 → 2023-08-10
    Securian Financial Services, Inc.
    Newark, DE
    St. Paul, MN
Other Businesses

Diamond State Financial Group Fixed Insurance; Newark, DE; ins rltd; independent contractor; fixed ins sales- FL, FA, DI, Hlth, LTC; 02/2023- pres; 160 hrs/mo; 160 hrs/mo trading * Dutch-Way Farm Market; non- investment related; Gap, PA; employee; 08/2005 - ongoing; 0 hours/ mo, 0 hours/mo trading. NAME OF OTHER BUSINESS: DIAMOND STATE FINANCIAL GROUP; INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: INSURANCE, SECURITIES, AND ADVISORY SERVICES, START DATE: 8/2023, 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: SECURITIES AND ADVISORY SERVICES;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-05-30
  • S66 Uniform Combined State Law Examination
    2023-05-30

View on SEC IAPD

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