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Employer firm

Cetera Investment Advisers LLC CRD 105644

$257B regulatory AUM 24,019 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers
Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

AuthorityCategoryStatusDate
OH RA APPROVED 2023-06-29
  • OH RA
    APPROVED
    Since 2023-06-29

Branch Locations

2735 N Holland-Sylvania Rd Unit B-3, Toledo, OH 43615 • United States

Holland, OH • 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
Voya Financial Advisors, Inc. Toledo OH 10/2014 06/2021
Cetera Wealth Services, Llc El Segundo CA 06/2021 Present
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
Previous Registrations
Other Businesses

1.) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS RESIDENTIAL LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 5/2022 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, FIXED ANNUITIES AND LONG-TERM CARE;

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2011-03-14
  • S63 Uniform Securities Agent State Law Examination
    2011-03-14
Other Names
  • Arin Macqueen

View on SEC IAPD

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