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

Branch Locations

2150 Hollow Brook Drive Ste 210, Colorado Springs, CO 80918 • 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
Benefit Consultants, Inc Colo Springs CO 07/1987 Present
Girard Securities Colorado Springs CO 06/2015 11/2017
Cetera Wealth Services, Llc El Segundo CA 09/2017 Present
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
  • 07/1987 → Present
    Benefit Consultants, Inc
    Colo Springs, CO
  • 06/2015 → 11/2017
    Girard Securities
    Colorado Springs, CO
  • 09/2017 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 06/2023 → Present
    Schaumburg, IL
Previous Registrations
  • 2015-06-30 → 2017-11-01
    Girard Securities, Inc.
    San Diego, CA
    Colorado Springs, CO
  • 2008-04-01 → 2015-07-02
    Colorado Springs, CO
  • 1999-01-01 → 2009-12-31
    Wayne E. Sprenger, Financial Planning
    Colorado Springs, CO
    Colorado Springs, CO
  • 2005-11-22 → 2008-04-24
    Colorado Springs, CO
    Colorado Springs, CO
  • 1999-01-01 → 2005-07-13
    Walnut Street Advisers Inc
    Colorado Springs, CO
Other Businesses

1. DBA: ASCENT FINANCIAL STRATEGIES LLC. 2)INDEPENDENT REP WITH BENEFIT CONSULTANTS INC FOR FIXED ONLY. 2. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; APX NUMBER OF HOURS PER WEEK: 4; APX NUMBER OF HOURS DURING TRADING HOURS: 4; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, ANNUITIES AND LONG TERM CARE;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 1999-09-09
  • S66 Uniform Combined State Law Examination
    1999-09-09
Designations

View on SEC IAPD

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