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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
TX RA APPROVED_RES 2023-01-18
MN RA APPROVED 2019-12-13
  • TX RA
    APPROVED_RES
    Since 2023-01-18
  • MN RA
    APPROVED
    Since 2019-12-13

Branch Locations

400 1St Street 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 Investment Services Llc St Cloud MN 08/2006 09/2018
Cetera Advisor Networks El Segundo CA 10/2010 09/2018
Cetera Advisors Denver CO 10/2010 09/2018
Cetera Financial Group El Segundo CA 10/2010 09/2018
Cetera Financial Specialists Schaumburg IL 04/2012 09/2018
Cetera Investment Advisers Llc St Cloud MN 01/2014 09/2018
Lpl Financial, Llc Avon MN 09/2018 03/2019
Woodbury Financial Services Inc Avon MN 03/2019 11/2019
Cetera Investment Services Llc St Cloud MN 12/2019 Present
Cetera Investment Advisors Llc St Cloud MN 12/2019 Present
Cetera Advisors Llc Greenwood Village IL 04/2026 Present
Cetera Financial Specialists Llc Schaumburg IL 04/2026 Present
Cetera Wealth Services, Llc El Segundo CA 04/2026 Present
  • 08/2006 → 09/2018
    Cetera Investment Services Llc
    St Cloud, MN
  • 10/2010 → 09/2018
    Cetera Advisor Networks
    El Segundo, CA
  • 10/2010 → 09/2018
    Cetera Advisors
    Denver, CO
  • 10/2010 → 09/2018
    Cetera Financial Group
    El Segundo, CA
  • 04/2012 → 09/2018
    Cetera Financial Specialists
    Schaumburg, IL
  • 01/2014 → 09/2018
    St Cloud, MN
  • 09/2018 → 03/2019
    Avon, MN
  • 03/2019 → 11/2019
    Woodbury Financial Services Inc
    Avon, MN
  • 12/2019 → Present
    Cetera Investment Services Llc
    St Cloud, MN
  • 12/2019 → Present
    Cetera Investment Advisors Llc
    St Cloud, MN
  • 04/2026 → Present
    Cetera Advisors Llc
    Greenwood Village, IL
  • 04/2026 → Present
    Cetera Financial Specialists Llc
    Schaumburg, IL
  • 04/2026 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
Previous Registrations
  • 2019-03-18 → 2019-11-21
    Woodbury Financial Services, Inc.
    Avon, MN
  • 2018-09-14 → 2019-03-27
    Avon, MN
  • 2014-01-21 → 2018-09-17
    St Cloud, MN
  • 2013-04-10 → 2014-01-21
    Cetera Investment Services Llc
    St Cloud, MN
Other Businesses

DURABLE POA FOR FATHER IN-LAW, JAMES W MILLER

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2013-04-09
S63 Uniform Securities Agent State Law Examination 2011-09-22
  • S65 Uniform Investment Adviser Law Examination
    2013-04-09
  • S63 Uniform Securities Agent State Law Examination
    2011-09-22
Other Names
  • Nicole Marie Balko
  • Nicole Marie Balko
  • Nicole Marie Miller

View on SEC IAPD

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