Anne Theresa Dunne

Employer firm

Cetera Investment Advisers LLC CRD 105644

$257B regulatory AUM 24,019 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers

Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

Authority	Category	Status	Date
ME	RA	APPROVED	2014-01-21

ME RA
APPROVED

Since 2014-01-21

Branch Locations

Scarborough, ME • United States

Disclosures

2 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 No
Bankruptcy No
Civil judicial Yes
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Cetera Investment Services Llc	St. Cloud	MN	11/2008	Present
Cetera Investment Advisers Llc	Portland	ME	01/2014	Present

11/2008 → Present

Cetera Investment Services Llc

St. Cloud, MN
01/2014 → Present

Cetera Investment Advisers Llc

Portland, ME

Other Businesses

1.)PRESIDENT/OWNER OF ATD ASSOCIATES LLC, SMALL CONSULTING ASSIGNMENT FOCUSED ON B/D PRCESSES AND BUSINESS SECURITY QUESTIONS, UP TO 10 HRS/WEEK, $5-10K ANNUAL COMPENSATION. 2.) EXECUTOR OF MOTHER'S ESTATE, HOLDS HEALTH PROXY AND POWER OF ATTORNEY. MOTHER IS PV CLIENT.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1999-12-30
S63	Uniform Securities Agent State Law Examination	1990-08-22

S65 Uniform Investment Adviser Law Examination

1999-12-30
S63 Uniform Securities Agent State Law Examination

1990-08-22

View on SEC IAPD