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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
MN RA APPROVED 2025-02-20
  • MN RA
    APPROVED
    Since 2025-02-20

Branch Locations

2000 Old West Main Street Suite 400 4Th Floor, Red Wing, MN 55066 • 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
Dougherty & Company Llc Minneapolis MN 11/2002 01/2017
Investment Centers Of America, Inc. Red Wing MN 01/2017 11/2017
Concourse Financial Group Securities Inc Red Wing MN 11/2017 02/2025
(Dba) Great River Wealth Management Llc Red Wing MN 11/2017 Present
Cetera Wealth Services, Llc Red Wing MN 02/2025 Present
Cetera Investment Advisers Llc Schaumburg IL 02/2025 Present
  • 11/2002 → 01/2017
    Dougherty & Company Llc
    Minneapolis, MN
  • 01/2017 → 11/2017
    Investment Centers Of America, Inc.
    Red Wing, MN
  • 11/2017 → 02/2025
    Concourse Financial Group Securities Inc
    Red Wing, MN
  • 11/2017 → Present
    (Dba) Great River Wealth Management Llc
    Red Wing, MN
  • 02/2025 → Present
    Cetera Wealth Services, Llc
    Red Wing, MN
  • 02/2025 → Present
    Schaumburg, IL
Previous Registrations
  • 2017-11-03 → 2025-02-20
    Concourse Financial Group Securities, Inc.
    Red Wing, MN
    Birmingham, AL
    Red Wing, MN
    Birmingham, AL
  • 2017-01-20 → 2017-11-06
    Investment Centers Of America, Inc.
    Red Wing, MN
    Red Wing, MN
    Bismarck, ND
  • 2014-01-31 → 2017-01-23
    Minneapolis, MN
    Minneapolis, MN
Other Businesses

1) (dba) GREAT RIVER WEALTH MANAGEMENT LLC; Investment Related; 2000 Old West Main Street, Suite 400, 4th Floor, Red Wing, MN 55066; Financial Services; President; Start Date 11/2017; 160 hours per month with all of these hours occurring during trading hours; Financial Services by a hybrid model RIA fees and broker commissions. >> 2) STAINLESS STONE LLC; Non-Investment Related; Red Wing, MN 55066; Cookware; Owner/President; Start Date 10/2020; 8 hours per month with no hours occurring during trading hours; Sale of surgical stainless steel, food grade, baking pizza stone; Order, package, and ship pizza stones via Internet sales. 3) NAME OF OTHER BUSINESS: GREAT RIVER WEALTH MANAGEMENT LLC INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: INSURANCE SERVICES; START DATE: 02/2026; POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: LIFE INSURANCE;

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-10-23
S63 Uniform Securities Agent State Law Examination 1983-03-31
  • S65 Uniform Investment Adviser Law Examination
    1997-10-23
  • S63 Uniform Securities Agent State Law Examination
    1983-03-31

View on SEC IAPD

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