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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
IN RA APPROVED 2023-08-10
TX RA APPROVED 2023-08-10
  • IN RA
    APPROVED
    Since 2023-08-10
  • TX RA
    APPROVED
    Since 2023-08-10

Branch Locations

17535 Generations Dr, South Bend, IN 46635 • United States

12698 Glen Hollow Drive, Bonita Springs, FL 34135 • 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
Travelers Hartford CT 10/1983 Present
Baker, Curtis & Healy, Inc. South Bend IN 09/1987 Present
Securian Financial Services, Inc. St Paul MN 08/1989 08/2023
Shoemaker Financial South Bend IN 07/2010 Present
Minnesota Life Insurance Company St Paul MN 09/1987 08/2023
Cetera Wealth Services, Llc South Bend IN 08/2023 Present
Cetera Investment Advisers Llc Schaumburg IL 08/2023 Present
  • 10/1983 → Present
    Travelers
    Hartford, CT
  • 09/1987 → Present
    Baker, Curtis & Healy, Inc.
    South Bend, IN
  • 08/1989 → 08/2023
    Securian Financial Services, Inc.
    St Paul, MN
  • 07/2010 → Present
    Shoemaker Financial
    South Bend, IN
  • 09/1987 → 08/2023
    Minnesota Life Insurance Company
    St Paul, MN
  • 08/2023 → Present
    Cetera Wealth Services, Llc
    South Bend, IN
  • 08/2023 → Present
    Schaumburg, IL
Previous Registrations
  • 1998-11-18 → 2023-08-10
    Securian Financial Services, Inc.
    Germantown, TN
    South Bend, IN
    South Bend, IN
    St. Paul, MN
Other Businesses

DYNAMIC MORTGAGE SOLUTIONS LLC POSITION: Employee NATURE: Referral Agreement INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 01/01/2007 ADDRESS: , South Bend IN , United States DESCRIPTION: Employee GREAT DAY LLC POSITION: Owner NATURE: Rental Property INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 09/01/2013 ADDRESS: , South Bend IN , United States DESCRIPTION: Owner HEALY MORTGAGE LLC POSITION: Employee NATURE: Mortgage INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 01/01/2007 ADDRESS: , South Bend IN , United States DESCRIPTION: Employee HEALY TAX LLC POSITION: Owner NATURE: Accountant/CPA INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 10/01/2018 ADDRESS: , South Bend IN , United States DESCRIPTION: Owner RENTAL PROPERTY POSITION: Owner NATURE: Rental Property INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 01/01/1996 ADDRESS: , South Bend IN , United States DESCRIPTION: Owner THE HEALY GROUP POSITION: Owner NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 09/01/1987 ADDRESS: , South Bend IN , United States DESCRIPTION: Owner SHOEMAKER FINANCIAL FIXED INSURANCE POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 10/27/2019 ADDRESS: 2176 West St Ste 100, Germantown TN 38138, United States DESCRIPTION: fixed insurance sales

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1983-10-26
  • S63 Uniform Securities Agent State Law Examination
    1983-10-26
Designations
  • Chartered Financial Consultant
Other Names
  • Randy Raciti

View on SEC IAPD

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