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

Branch Locations

301 E Main St, Morrison, IL 61270 • 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
Voya Financial Advisors Morrison IL 09/2014 06/2021
Cetera Wealth Services, Llc El Segundo CA 06/2021 Present
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
  • 09/2014 → 06/2021
    Voya Financial Advisors
    Morrison, IL
  • 06/2021 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 06/2023 → Present
    Schaumburg, IL
Previous Registrations
  • 2004-01-01 → 2021-06-09
    Naperville, IL
    Morrison, IL
    Brooklyn Park, MN
  • 2004-01-01 → 2007-02-02
    Cetera Advisors Llc
    Denver, CO
  • 1999-02-20 → 2004-12-31
    Independent Advisers Group Corp
    Sterling, IL
  • 2002-03-11 → 2004-01-01
    Locust Street Securities, Inc.
    Itasca, IL
  • 2001-01-08 → 2004-01-01
    Vestax Securities Corporation
    Hinsdale, IL
Other Businesses

1. NAME OF ENTITY: WELLS FINANCIAL SERVICES; Yes; 301 E MAIN STREET; MORRISON; IL; 61270; FINANCIAL SERVICES/DBA; PRESIDENT; 7/7/2017; 160; 130; SALE AND SERVICE FIXED INSURANCE ,SECURITIES AND INVESTMENT PRODUCTS; 2. NAME OF ENTITY: Joe Lewis, LLC; No; 286 GREY OAKS BLVD; TARPON SPRINGS; FL; 34688; real estate; PART OWNER; 8/15/2007; 0; 0; LLC owns real estate; 3. NAME OF ENTITY: Pontiac Super Wash; No; 54 PRAIRIE DRIVE; STERLING; IL; 61081; car wash; part owner; 10/1/1988; 0; 0; owner/operator; 4. NAME OF ENTITY: Candletree Super Wash; No; 54 PRAIRIE DRIVE; STERLING; IL; 61081; car wash; part owner; 1/1/1989; 0; 0; owner/operator; 5. NAME OF ENTITY: Abiding Word; No; 806 E LYNN BLVD; STERLING; IL; 61081; NON-PROFIT ORGANIZATION; BOARD MEMBER; 6/1/1975; 4; 4; REVIEW CHURCH BUSINESS ON QUARTERLY BASIS OR AS NEEDED; 6. NAME OF ENTITY: INDEPENDENT INSURANCE AGENT; Yes; 301 E MAIN ST; MORRISON; IL; 61270; FIXED INSURANCE SALES; INDEPENDENT INSURANCE AGENT; 8/18/2008; 8; 8; SALES OF FIXED INSURANCE PRODUCTS; 7. NAME OF OTHER BUSINESS: JOLTIN JOE'S, LLC; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: HOLDING COMPANY; START DATE: 1/2023; POSITION/TITLE/RELATIONSHIP: CO-OWNER; APX NUMBER OF HOURS PER WEEK: LESS THAN 1; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1; BRIEF DESCRIPTION OF DUTIES: MAKING LOANS TO A NEWLY FORMED WASTE COMPANY - 50% RESPONSIBLE FOR DECISION MAKING;

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1986-03-13
  • S63 Uniform Securities Agent State Law Examination
    1986-03-13
Designations
Other Names
  • Joe Wells

View on SEC IAPD

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