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

Branch Locations

5700 Oakland Ave Ste 400, St Louis, MO 63110 • United States

Ballwin, MO • 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 No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Minnesota Life St. Paul MN 02/1995 08/2023
Securian Financial Services, Inc. St. Paul MN 02/1995 08/2023
Renaissance Financial Corporation St. Louis MO 02/1995 Present
R.F. Brokerage St. Louis MO 06/1995 Present
Securian Financial Services, Inc. St. Paul MN 10/2001 08/2023
Coop Ins Agency, Inc San Diego CA 05/2004 Present
Cetera Wealth Services, Llc St. Louis MO 08/2023 Present
Cetera Investment Advisers Llc Schaumburg IL 08/2023 Present
  • 02/1995 → 08/2023
    Minnesota Life
    St. Paul, MN
  • 02/1995 → 08/2023
    Securian Financial Services, Inc.
    St. Paul, MN
  • 02/1995 → Present
    Renaissance Financial Corporation
    St. Louis, MO
  • 06/1995 → Present
    R.F. Brokerage
    St. Louis, MO
  • 10/2001 → 08/2023
    Securian Financial Services, Inc.
    St. Paul, MN
  • 05/2004 → Present
    Coop Ins Agency, Inc
    San Diego, CA
  • 08/2023 → Present
    Cetera Wealth Services, Llc
    St. Louis, MO
  • 08/2023 → Present
    Schaumburg, IL
Previous Registrations
  • 2001-10-01 → 2023-08-10
    Securian Financial Services, Inc.
    St. Louis, MO
    St. Louis, MO
    St. Paul, MN
  • 1998-05-26 → 2004-12-14
    Renaissance Financial Corporate Education Llc
    St. Louis, MO
  • 1998-12-01 → 2004-10-05
    Rf Advisors Llc
    St. Louis, MO
Other Businesses

1. NAME OF OTHER BUSINESS: RENAISSANCE FINANCIAL INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: February 1995 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 2. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: February 1995 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

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2002-03-12
S63 Uniform Securities Agent State Law Examination 1995-03-07
  • S65 Uniform Investment Adviser Law Examination
    2002-03-12
  • S63 Uniform Securities Agent State Law Examination
    1995-03-07
Designations

View on SEC IAPD

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