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

Branch Locations

1821 S 9Th St, St Louis, MO 63104 • United States

St Louis, MO • 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
Walnut Street Securities, Inc. St Louis MO 06/1998 Present
Nathan & Lewis Securities, Inc. New York NY 12/2002 Present
Metropolitan Life Ins Co St Louis MO 06/1998 Present
Metlife Securities Inc St Louis MO 06/1998 Present
New England Securities Inc St Louis MO 06/1998 Present
Cetera Wealth Services, Llc St. Louis MO 09/2013 Present
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
  • 06/1998 → Present
    Walnut Street Securities, Inc.
    St Louis, MO
  • 12/2002 → Present
    Nathan & Lewis Securities, Inc.
    New York, NY
  • 06/1998 → Present
    Metropolitan Life Ins Co
    St Louis, MO
  • 06/1998 → Present
    Metlife Securities Inc
    St Louis, MO
  • 06/1998 → Present
    New England Securities Inc
    St Louis, MO
  • 09/2013 → Present
    Cetera Wealth Services, Llc
    St. Louis, MO
  • 06/2023 → Present
    Schaumburg, IL
Previous Registrations
  • 2013-03-06 → 2013-09-03
    Walnut Street Securities, Inc.
    St. Louis, MO
    St Louis, MO
Other Businesses

1. NAME OF OTHER BUSINESS: ALPHASIGHTS INVESTMENT RELATED: NO ADDRESS: 229 WEST 43RD ST, NEW YORK, NY 10036 NATURE OF BUSINESS: CONSULTING FIRM START DATE: 3/2016 POSITION/TITLE/RELATIONSHIP: CONSULTANT APX NUMBER OF HOURS PER WEEK: VARIES APX NUMBER OF HOURS DURING TRADING HOURS: VARIES BRIEF DESCRIPTION OF DUTIES: PROVIDE BACKGROUND IN INDUSTRY WEALTH MANAGEMENT PLATFORMS. 2. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE:08/2019; APX NUMBER OF HOURS PER WEEK: VARIES; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SELLS LIFE AND ANNUITIES;

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2013-02-19
S63 Uniform Securities Agent State Law Examination 1985-08-08
  • S65 Uniform Investment Adviser Law Examination
    2013-02-19
  • S63 Uniform Securities Agent State Law Examination
    1985-08-08

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