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

Branch Locations

8988 Ruffian Ln, Newburgh, IN 47630 • 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
Securian Financial Services Inc St. Paul MN 10/2007 08/2023
Minnesota Life Insurance Company St. Paul MN 05/2007 08/2023
Shoemaker Financial Advisors Germantown TN 05/2007 Present
Cetera Wealth Services, Llc Newburgh IN 08/2023 Present
Cetera Investment Advisers Llc Schaumburg IL 08/2023 Present
  • 10/2007 → 08/2023
    Securian Financial Services Inc
    St. Paul, MN
  • 05/2007 → 08/2023
    Minnesota Life Insurance Company
    St. Paul, MN
  • 05/2007 → Present
    Shoemaker Financial Advisors
    Germantown, TN
  • 08/2023 → Present
    Cetera Wealth Services, Llc
    Newburgh, IN
  • 08/2023 → Present
    Schaumburg, IL
Previous Registrations
  • 2007-10-10 → 2023-08-10
    Securian Financial Services, Inc.
    Newburgh, IN
    St. Paul, MN
  • 1994-09-28 → 2007-12-20
    Charter Financial Group
    Newburgh, IN
Other Businesses

SHOEMAKER FINANCIAL FIXED INSURANCE POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 10/27/2019 ADDRESS: 2176 West St Ste 100, Germantown TN 38138, United States DESCRIPTION: fixed insurance sales

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1982-03-26
  • S63 Uniform Securities Agent State Law Examination
    1982-03-26
Designations
Other Names
  • Brenda Gail Middleton

View on SEC IAPD

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