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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

AuthorityCategoryStatusDate
NY RA APPROVED 2023-06-29
TX RA APPROVED 2023-06-29
  • NY RA
    APPROVED
    Since 2023-06-29
  • TX RA
    APPROVED
    Since 2023-06-29

Branch Locations

200 Liberty Street 3Rd Fl, New York, NY 10281 • United States

Willis Towers Watson Securities, Llc

233 South Wacker Drive Suite 1800, Chicago, IL 60606 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2022-04-27
  • NY RA
    APPROVED
    Since 2022-04-27

Branch Locations

200 Liberty Street 6Th Floor, New York, NY 10281 • UNITED STATES

200 Liberty Street 6Th Floor, New York, NY 10281 • 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
Willis Securities Inc. New York NY 06/2009 12/2021
Cetera Wealth Services, Llc El Segundo CA 09/2013 Present
Willis Towers Watson New York NY 01/2016 Present
Willis Towers Watson Securities, Llc New York NY 11/2021 Present
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
Previous Registrations
  • 2021-08-19 → 2021-12-21
    New York, NY
  • 2004-05-27 → 2013-09-03
    Tower Square Securities, Inc.
    New York, NY
  • 2003-04-28 → 2009-11-17
    Hrh Securities, Llc
    New York, NY
    New York, NY
Other Businesses

WILLIS TOWERS WATSON NORTHEAST, INC., INSURANCE SALES, 200 LIBERTY ST NY, NY 10281, INVESTMENT RELATED, START 01/2016, SENIOR VP, INSURANCE SALES, 30 HRS/WK, MOST OF THESE DURING THE FIRM'S NORMAL BUSINESS HOURS.; SNT ASSOCIATES, OCCUPATIONAL THERAPY, ROSLYN, NY, NOT INVESTMENT RELATED, VP, START 03/2012, 2HRS/WK (NON TRADING HOURS).

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1995-07-06
  • S63 Uniform Securities Agent State Law Examination
    1995-07-06
Designations
  • Chartered Financial Consultant

View on SEC IAPD

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