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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
IA RA APPROVED 2023-06-29
  • IA RA
    APPROVED
    Since 2023-06-29

Branch Locations

Waterloo, IA • United States

Disclosures

3 disclosure categories 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 Yes
  • Criminal Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Voya Financial Advisors Waterloo IA 09/2014 06/2021
Cetera Wealth Services, Llc El Segundo CA 06/2021 Present
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
  • 09/2014 → 06/2021
    Voya Financial Advisors
    Waterloo, IA
  • 06/2021 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 06/2023 → Present
    Schaumburg, IL
Previous Registrations
  • 2004-01-01 → 2021-06-11
    Naperville, IL
    Waterloo, IA
    Waterloo, IA
    Brooklyn Park, MN
    Sarasota, FL
    Windsor, CT
  • 2002-02-25 → 2004-01-01
    Locust Street Securities, Inc.
    Waterloo, IA
  • 2000-01-14 → 2002-09-06
    Vestax Securities Corporation
    Waterloo, IA
Other Businesses

1. NAME OF ENTITY:Ronald Kiewiet-RENTAL; No; 3523 PHEASANT LANE; WATERLOO; IA; 50701; rental property; owner; 1/1/1975; 2; 0; own and manage rental property 2. NAME OF ENTITY:Friends of Faith Retirement Homes, Inc.; No; 600 PARK LANE; WATERLOO; IA; 50701; retirement home; BOARD MEMBER; 3/1/2020; 1; 0; attend quarterly board meetings 3. NAME OF ENTITY:Ronald Kiewiet-FARMLAND; No; 1013 NANCY ROAD; WATERLOO; IA; 50701; rental property; owner; 1/1/2003; 0; 0; farmland rental|

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1991-09-20
  • S63 Uniform Securities Agent State Law Examination
    1991-09-20

View on SEC IAPD

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