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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
WI RA APPROVED 2025-09-05
  • WI RA
    APPROVED
    Since 2025-09-05

Branch Locations

9850 Country Lane, Woodruff, WI 54568 • 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
Avantax Investment Services, Inc. Woodruff WI 04/2002 09/2025
Avantax Insurance Agency Llc Woodruff WI 09/2013 09/2025
Physiciaans Mutual Insurance Woodruff WI 03/2017 06/2017
Guggenheim Life And Annuity Indianapolis IN 06/2012 04/2017
Mrk Financial Solutions Woodruff WI 02/2021 07/2021
Midwest Financial Group Woodruff WI 07/2021 Present
Mfg Financial Advisors Woodruff WI 01/2025 Present
Cetera Wealth Services, Llc Woodruff WI 09/2025 Present
Cetera Investment Advisers Llc Schaumburg IL 09/2025 Present
  • 04/2002 → 09/2025
    Avantax Investment Services, Inc.
    Woodruff, WI
  • 09/2013 → 09/2025
    Avantax Insurance Agency Llc
    Woodruff, WI
  • 03/2017 → 06/2017
    Physiciaans Mutual Insurance
    Woodruff, WI
  • 06/2012 → 04/2017
    Guggenheim Life And Annuity
    Indianapolis, IN
  • 02/2021 → 07/2021
    Mrk Financial Solutions
    Woodruff, WI
  • 07/2021 → Present
    Midwest Financial Group
    Woodruff, WI
  • 01/2025 → Present
    Mfg Financial Advisors
    Woodruff, WI
  • 09/2025 → Present
    Cetera Wealth Services, Llc
    Woodruff, WI
  • 09/2025 → Present
    Schaumburg, IL
Previous Registrations
  • 2019-05-16 → 2025-09-05
    Avantax Advisory Services
    Woodruff, WI
Other Businesses

1) ROCKY MOUNTAIN ELK FOUNDATION; POSITION: Local Chapter Member NATURE: Charitable organization promoting preservation and enhancement of wildlife habitat. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 10/19/2021; 5705 Grant Creek Road, Missoula MT 59808, Check signer for local chapter only. Bank paperwork providing signature sample returned to Rocky Mountain Elk Foundation on 10/19/2021. 2) MFG FINANCIAL ADVISORS POSITION: Financial Professional NATURE: Sub Rep within organization INVESTMENT RELATED: Yes NUMBER OF HOURS: 200 SECURITIES TRADING HOURS: 130 START DATE: 01/01/2025 ADDRESS: 9850 Country Lane, Woodruff WI 54568, United States DESCRIPTION: Customary Financial Professional. Have been HD Vest/Avantax rep since 2002

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2019-04-19
S63 Uniform Securities Agent State Law Examination 1984-06-14
  • S65 Uniform Investment Adviser Law Examination
    2019-04-19
  • S63 Uniform Securities Agent State Law Examination
    1984-06-14

View on SEC IAPD

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