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Cetera Investment Advisers LLC CRD 105644
$257B regulatory AUM 24,019 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2023-07-17 |
Branch Locations
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Oppenheimer & Co. Inc | Boca Raton | FL | 07/2016 | 07/2023 |
| Cetera Investment Advisers Llc | Schaumburg | IL | 07/2023 | Present |
| Cetera Wealth Services, Llc | El Segundo | CA | 07/2023 | Present |
| Schaum Wealth Management, Llc | Delray Beach | FL | 07/2023 | Present |
1. NAME OF OTHER BUSINESS: SCHAUM WEALTH MANAGEMENT, LLC INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 07/2023 POSITION/TITLE/RELATIONSHIP: MANAGING PARTNER APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: PROVIDING BROKERAGE AND ADVISORY SERVICES; 2. NAME OF OTHER BUSINESS: AMERICAN ASSOCIATION OF CARE GIVING YOUTH; INVESTMENT RELATED: NO; ADDRESS: 6401 CONGRESS AVE, BOCA RATON, FL 33487; NATURE OF BUSINESS: BOARD; START DATE: 10/2024; POSITION/TITLE/RELATIONSHIP: BOARD OF DIRECTORS-FINANCE COMMITTEE; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 2; BRIEF DESCRIPTION OF DUTIES: REVIEW FINANCIAL STATEMENTS;
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2000-06-14 |
| S63 | Uniform Securities Agent State Law Examination | 1983-07-11 |
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