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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
FL RA APPROVED 2024-03-29
TX RA APPROVED 2024-03-21
  • FL RA
    APPROVED
    Since 2024-03-29
  • TX RA
    APPROVED
    Since 2024-03-21

Branch Locations

6052 Turkey Lake Rd Ste 101, Orlando, FL 32819 • United States

Disclosures

1 disclosure category 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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Ameriprise Financial Services, Inc. Orlando FL 09/2005 04/2023
Cetera Advisors Llc St Cloud MN 04/2023 Present
Sunrise Wealth Advisors Orlando FL 04/2023 Present
Cetera Investment Advisers Schaumburg IL 01/2024 Present
  • 09/2005 → 04/2023
    Ameriprise Financial Services, Inc.
    Orlando, FL
  • 04/2023 → Present
    Cetera Advisors Llc
    St Cloud, MN
  • 04/2023 → Present
    Sunrise Wealth Advisors
    Orlando, FL
  • 01/2024 → Present
    Cetera Investment Advisers
    Schaumburg, IL
Previous Registrations
Other Businesses

NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FIXED INSURANCE, START DATE: 01/2005, APX NUMBER OF HOURS PER WEEK: 5, APX NUMBER OF HOURS DURING TRADING HOURS: 5, POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT , BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, FIXED ANNUITIES AND LONG-TERM CARE; NAME OF OTHER BUSINESS: SUNRISE WEALTH ADVISORS, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 04/2023, POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-03-17
S63 Uniform Securities Agent State Law Examination 1985-08-15
  • S66 Uniform Combined State Law Examination
    2005-03-17
  • S63 Uniform Securities Agent State Law Examination
    1985-08-15

View on SEC IAPD

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