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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
OH RA APPROVED 2023-06-29
TX RA APPROVED_RES 2023-06-29
  • OH RA
    APPROVED
    Since 2023-06-29
  • TX RA
    APPROVED_RES
    Since 2023-06-29

Branch Locations

Lyndhurst, OH • United States

Financial Management Strategies, Inc.

9200 South Hills Blvd. Suite 310, Broadview Hts., OH 44147 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2020-12-10
OH RA APPROVED 2013-07-02
  • TX RA
    APPROVED
    Since 2020-12-10
  • OH RA
    APPROVED
    Since 2013-07-02

Branch Locations

9200 South Hills Blvd. Suite 310, Broadview Hts., OH 44147 • 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
Cetera Wealth Services, Llc El Segundo CA 09/2013 Present
Financial Management Strategies, Inc. Valley View OH 06/2013 Present
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
Your Financialadvisor Inc Cleveland OH 12/2008 Present
Previous Registrations
  • 2007-05-03 → 2013-09-03
    Walnut Street Securities, Inc.
    Cleveland, OH
Other Businesses

1) PART TIME PERSONAL STYLIST AT NORDSTROM IN BEACHWOOD, OH FOR 12 EVE/WKND HRS/WK SINCE 2/2012. 2) FMS REGISTERED INVESTMENT ADVISOR THROUGH JEFF KNOX INVESTMENT ADVISOR REP UNDER FINANCIAL MANAGEMENT STRATEGIES, INC./IAR LOCATED 9050 SWEET WATER DRIVE VALLET VIEW H 44124, 10 WEEKDAY AND 2 EVENING/WEEKEND HOURS SINCE 6/13 3) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES ; INVESTMENT RELATED: YES ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: FIXED INSURANCE ; START DATE:12/2018 ; APX NUMBER OF HOURS PER WEEK: 2 ; APX NUMBER OF HOURS DURING TRADING HOURS: 2 ; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS ANNUITIES ; 4) NAME OF OTHER BUSINESS: DOGDAD LLC; INVESTMENT RELATED: NO; ADDRESS: 1303 IRENE ROAD CLEVELAND OH 44124; NATURE OF BUSINESS: REAL ESTATE; START DATE: 2/2021; POSITION/TITLE/RELATIONSHIP: PART OWNER/MEMBER; APX NUMBER OF HOURS PER WEEK: 0; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: PART OWNER; 5) NAME OF OTHER BUSINESS: YOUR FINANCIALADVISOR INC, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 12/2008, POSITION/TITLE/RELATIONSHIP: OWNER, APX NUMBER OF HOURS PER WEEK: 35, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES AND TAX PURPOSES.;

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1983-04-25
  • S63 Uniform Securities Agent State Law Examination
    1983-04-25

View on SEC IAPD

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