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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 2024-03-21
  • CO RA
    APPROVED
    Since 2024-03-21

Branch Locations

45 Country Club Village, Pueblo, CO 81008 • United States

6855 S. Havana Ste 270, Centennial, CO 80112 • United States

Denver, CO • 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 No
  • Termination Yes
Employment History
OrganizationCityStateFromTo
Cetera Advisors Llc Denver CO 03/2015 Present
Cetera Investment Advisers Llc Schaumburg IL 03/2024 Present
Previous Registrations
  • 2013-09-16 → 2015-03-18
    Centennial, CO
    Ann Arbor, MI
Other Businesses

1.DBA: LANE STRATEGIES, INVESTMENT RELATED, ADDRESS IS THE REGISTERED LOCATION, FINANCIAL SERVICES, START APRIL 2007, 35 HOURS PER WEEK - DURING TRADING HOURS, OWNER - FINANCIAL ADVISOR. 2. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 05/2015; APX NUMBER OF HOURS PER WEEK: 8; APX NUMBER OF HOURS DURING TRADING HOURS: 8; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, ANNUITIES AND LONG TERM CARE; 3.ELLEDGE MUSIC INC., NOT INVESTMENT RELATED 1801 NORTHERN, PUEBLO, CO 81004, MUSICAL INSTRUMENTS SALES, START 1998, NO TIME DEVOTED TO THIS ACTIVITY, PASSIVE CO-OWNER. 4. NAME OF OTHER BUSINESS: CANDIDATE FOR COLORADO SENATE 31ST SEAT, INVESTMENT RELATED: NO, ADDRESS: SAME AS RESIDENTIAL LOCATION, NATURE OF BUSINESS: ELECTION CAMPAIGN, START DATE: 3/2016, APX NUMBER OF HOURS PER WEEK: VARIES, APX NUMBER OF TRADING HOURS PER WEEK: VARIES, POSITION/TITLE/RELATIONSHIP: STATE SENATE CANDIDATE, BRIEF DESCRIPTION OF DUTIES: IF ELECTED PART TIME LEGISLATION;

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2013-09-09
S63 Uniform Securities Agent State Law Examination 1998-05-18
  • S65 Uniform Investment Adviser Law Examination
    2013-09-09
  • S63 Uniform Securities Agent State Law Examination
    1998-05-18

View on SEC IAPD

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