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Cetera Investment Advisers LLC CRD 105644
$257B regulatory AUM 24,019 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| PA | RA | APPROVED | 2023-06-29 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Independent Financial Advisors, Inc. | Easton | PA | 02/1997 | 06/2018 |
| Linsco/Private Ledger Corp | Easton | PA | 02/2007 | 06/2018 |
| Cetera Wealth Services, Llc | El Segundo | CA | 06/2018 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 06/2023 | Present |
1. Name of other business: Fixed insurance with various companies Investment related: Yes Address: Same as Registered Location Nature of business: Fixed Insurance Start Date: 04/2018 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 2. Name of other business: Independent financial advisors, Inc. Investment related: Yes Address: Same as Registered Location Nature of business: financial services Start date: 02/1997 Position/title/relationship: financial services Apx number of hours per week: 60 Apx number of hours during trading hours: 60 Brief description of duties: owner, responsible for all business activities
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1993-08-11 |
| S63 | Uniform Securities Agent State Law Examination | 1982-11-02 |
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