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Current Employers
Cetera Investment Management Llc

1450 American Lane Suite 650, Schamburg, IL 60173 • United States

Current Registrations

AuthorityCategoryStatusDate
MN RA APPROVED 2017-07-13
  • MN RA
    APPROVED
    Since 2017-07-13

Branch Locations

400 1St St S Ste 300, St Cloud, MN 56301 • 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
Cetera Wealth Services, Llc El Segundo CA 04/2011 Present
Cetera Investment Services Llc Saint Cloud MN 01/2013 Present
Cetera Advisors Llc Denver CO 01/2013 Present
  • 04/2011 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 01/2013 → Present
    Cetera Investment Services Llc
    Saint Cloud, MN
  • 01/2013 → Present
    Cetera Advisors Llc
    Denver, CO
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1984-06-29
  • S63 Uniform Securities Agent State Law Examination
    1984-06-29

View on SEC IAPD

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