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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
CA RA APPROVED 2023-08-10
TX RA APPROVED 2023-08-10
  • CA RA
    APPROVED
    Since 2023-08-10
  • TX RA
    APPROVED
    Since 2023-08-10

Branch Locations

672 Ridge Hill Drive Ste A, New Braunfels, TX 78130 • United States

4001 Macarthur Blvd Ste 300, Newport Beach, CA 92660 • 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
R. Mccloskey Insurance Agency Inc Newport Beach CA 02/1975 Present
Minnesota Life St. Paul MN 04/1975 08/2023
Securian Financial Services St Paul MN 11/1987 08/2023
Cetera Wealth Services, Llc Newport Beach CA 08/2023 Present
Cetera Investment Advisers Llc Schaumburg IL 08/2023 Present
  • 02/1975 → Present
    R. Mccloskey Insurance Agency Inc
    Newport Beach, CA
  • 04/1975 → 08/2023
    Minnesota Life
    St. Paul, MN
  • 11/1987 → 08/2023
    Securian Financial Services
    St Paul, MN
  • 08/2023 → Present
    Cetera Wealth Services, Llc
    Newport Beach, CA
  • 08/2023 → Present
    Schaumburg, IL
Previous Registrations
  • 2003-02-12 → 2023-08-10
    Securian Financial Services, Inc.
    Honolulu, HI
    Newport Beach, CA
    Monterey Park, CA
    Los Angeles, CA
    Newport Beach, CA
    Canoga Park, CA
    San Diego, CA
    St. Paul, MN
  • 2003-04-02 → 2005-11-14
    Slgg Financial And Insurance Services, Llc
    Newport Beach, CA
Other Businesses

1. TFG FIXED INSURANCE POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 04/01/1975 ADDRESS: , Newport Beach CA , United States DESCRIPTION: Agent/Broker; 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: 04/1975; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SALES OF FIXED INSURANCE PRODUCTS;

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-06-24
S63 Uniform Securities Agent State Law Examination 1997-03-25
  • S65 Uniform Investment Adviser Law Examination
    1999-06-24
  • S63 Uniform Securities Agent State Law Examination
    1997-03-25
Designations

View on SEC IAPD

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