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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
AZ RA APPROVED 2025-03-04
  • AZ RA
    APPROVED
    Since 2025-03-04

Branch Locations

Phoenix, AZ • United States

23335 N 18Th Drive, Phoenix, AZ 85027 • 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
Lafayette Life Lafayette IN 06/1986 01/2025
American Portfolios Financial Services, Inc. Phoenix AZ 11/2001 10/2024
American General Insurance Phoenix AZ 02/2001 02/2025
Osaic Wealth, Inc. Scottsdale AZ 10/2024 02/2025
Osaic Advisory Services, Llc Atlanta GA 10/2024 02/2025
Cetera Advisors Llc St Cloud MN 03/2025 Present
Cetera Investment Advisers Llc Schaumburg IL 03/2025 Present
Wilde Wealth Management Group Schaumburg IL 02/2026 Present
  • 06/1986 → 01/2025
    Lafayette Life
    Lafayette, IN
  • 11/2001 → 10/2024
    American Portfolios Financial Services, Inc.
    Phoenix, AZ
  • 02/2001 → 02/2025
    American General Insurance
    Phoenix, AZ
  • 10/2024 → 02/2025
    Scottsdale, AZ
  • 10/2024 → 02/2025
    Atlanta, GA
  • 03/2025 → Present
    Cetera Advisors Llc
    St Cloud, MN
  • 03/2025 → Present
    Schaumburg, IL
  • 02/2026 → Present
    Wilde Wealth Management Group
    Schaumburg, IL
Previous Registrations
Other Businesses

1. NAME OF OTHER BUSINESS: VCE PROPERTIES, LLC; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: LIABILITY PROTECTION / LLC HOLDS TITLE TO MY OFFICE; START DATE: 11/2007; POSITION/TITLE/RELATIONSHIP: MANAGER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: NONE; BRIEF DESCRIPTION OF DUTIES: THIS LLC HOLDS TITLE TO MY OFFICE. THE BUSINESS PAYS RENT TO COVER THE INSURANCE, HOA FEES, TAXES AND MAINTENANCE; 2. NAME OF OTHER BUSINESS: ESPARZA GROUP, LLC; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: SECURITIES-RELATED DBA; START DATE: 12/2018; POSITION/TITLE/RELATIONSHIP: MANAGER; APX NUMBER OF HOURS PER WEEK: 10; APX NUMBER OF HOURS DURING TRADING HOURS: 2; BRIEF DESCRIPTION OF DUTIES: PROVIDE FINANCIAL PLANNING, SECURITIES, AND INSURANCE BUSINESS; 3. NAME OF OTHER BUSINESS: ESPARZA GROUP CHARITY, INC; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: NONPROFIT ORGANIZATION FOR VARIOUS FUND RAISERS, SUCH AS A GOLF TOURNAMENT; START DATE: 02/2019; POSITION/TITLE/RELATIONSHIP: DIRECTOR; APX NUMBER OF HOURS PER WEEK: NONE; APX NUMBER OF HOURS DURING TRADING HOURS: NONE; BRIEF DESCRIPTION OF DUTIES: THIS NONPROFIT CHARITY WAS CREATED FOR OUR CHARITY GOLF TOURNAMENTS; 4. NAME OF OTHER BUSINESS: WILDE WEALTH MANAGEMENT GROUP, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 03/2025, POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 0, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 5. NAME OF OTHER BUSINESS: WILDE WEALTH MANAGEMENT GROUP INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 02/02/2026 POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 40, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-05-14
S63 Uniform Securities Agent State Law Examination 1985-07-26
  • S65 Uniform Investment Adviser Law Examination
    1999-05-14
  • S63 Uniform Securities Agent State Law Examination
    1985-07-26
Designations

View on SEC IAPD

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