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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
CO RA APPROVED 2023-06-29
  • CO RA
    APPROVED
    Since 2023-06-29

Branch Locations

16 Iverness Pl E, Bldg E-200, Englewood, CO 80112 • United States

Highlands Ranch, CO • 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
Ace Irrigation Co Highlands Ranch CO 02/2003 02/2023
Cetera Wealth Services, Llc El Segundo CA 09/2013 Present
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
  • 02/2003 → 02/2023
    Ace Irrigation Co
    Highlands Ranch, CO
  • 09/2013 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 06/2023 → Present
    Schaumburg, IL
Previous Registrations
  • 2005-12-13 → 2013-09-03
    Walnut Street Securities, Inc.
    Highlands Ranch, CO
    Highlands Ranch, CO
  • 1999-12-01 → 2006-11-02
    Walnut Street Advisers Inc
    Greenwood Village, CO
Other Businesses

1. NAME OF OTHER BUSINESS: FITASC INVESTMENT RELATED: NO ADDRESS: 10 RUE MEDIC 75017 PARIS FRANCE NATURE OF BUSINESS: SHOOTING ORGANIZATION START DATE: 2005 APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 1 POSITION/TITLE/RELATIONSHIP: REFEREE, BRIEF DESCRIPTION OF DUTIES: REFEREE SHOOTING EVENTS; 2. NAME OF OTHER BUSINESS: TRESANA TOWNHOMES ASSOCIATION; INVESTMENT RELATED: NO; ADDRESS: 9194 VIAGGIO WAY HIGHLANDS RANCH, CO 80126; NATURE OF BUSINESS: NON PROFIT; START DATE: 2/2023; POSITION/TITLE/RELATIONSHIP: CHAIRMAN/ LANDSCAPE COMMITTEE; APX NUMBER OF HOURS PER WEEK: 3; APX NUMBER OF HOURS DURING TRADING HOURS: 3; BRIEF DESCRIPTION OF DUTIES: SET THE AGENDA AND RUN THE MEETINGS; 3. NAME OF OTHER BUSINESS: COLORADO SPORTING CLAYS ASSOCIATION ; INVESTMENT RELATED: NO; ADDRESS: 390 FRANKLIN STREET DENVER, CO 80218; NATURE OF BUSINESS: SOCIAL ORGANIZATION; START DATE: 02/2023; POSITION/TITLE/RELATIONSHIP: PRESIDENT; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: SET THE AGENDA AND RUN MEETINGS, ORGANIZE STATE CHAMPIONSHIP;

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-07-28
S63 Uniform Securities Agent State Law Examination 1996-01-12
  • S65 Uniform Investment Adviser Law Examination
    1998-07-28
  • S63 Uniform Securities Agent State Law Examination
    1996-01-12
Other Names
  • Bill Noyce

View on SEC IAPD

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