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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
SC RA APPROVED 2023-08-10
TX RA APPROVED_RES 2023-08-10
  • SC RA
    APPROVED
    Since 2023-08-10
  • TX RA
    APPROVED_RES
    Since 2023-08-10

Branch Locations

225 Seven Farms Dr Ste 106, Daniel Island, SC 29492 • 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
Minnesota Life Insurance Company St. Paul MN 08/2016 08/2023
Securian Financial Services Inc. St. Paul MN 08/2016 08/2023
Commonwealth Financial Group Daniel Island SC 08/2016 Present
Cetera Wealth Services, Llc Daniel Island SC 08/2023 Present
Cetera Investment Advisers Llc Schaumburg IL 08/2023 Present
  • 08/2016 → 08/2023
    Minnesota Life Insurance Company
    St. Paul, MN
  • 08/2016 → 08/2023
    Securian Financial Services Inc.
    St. Paul, MN
  • 08/2016 → Present
    Commonwealth Financial Group
    Daniel Island, SC
  • 08/2023 → Present
    Cetera Wealth Services, Llc
    Daniel Island, SC
  • 08/2023 → Present
    Schaumburg, IL
Previous Registrations
  • 2016-12-07 → 2023-08-10
    Securian Financial Services, Inc.
    Daniel Island, SC
    St. Paul, MN
Other Businesses

1) FAIROAKS SERVICES LLC POSITION: Owner NATURE: Consultant INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 08/24/2020 ADDRESS: 1416 Fairfield Avenue, Charleston SC 29407, United States DESCRIPTION: This is simply a pass through entity for my 1099 income as advised by my tax consultant. 2) COMMONWEALTH FIXED INSURANCE POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 10/27/2019 ADDRESS: 225 Seven Farms Drive, Suite 106, Daniel Island SC 29492, United States DESCRIPTION: Fixed insurance sales, as opportunities arise during the normal course of advisory business 3) NAME OF OTHER BUSINESS: N/A- SAMUEL MCBRIDE; INVESTMENT RELATED: NO ; ADDRESS: 711 MEETING STREET CHARLESTON, SC 29403; NATURE OF BUSINESS: CLOTHING; START DATE: 07/2024; POSITION/TITLE/RELATIONSHIP: MODEL; APX NUMBER OF HOURS PER WEEK: 0.5; APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: FITTING CLOTHES FOR BRAND; 4) NAME OF OTHER BUSINESS: COMMONWEALTH FINANCIAL GROUP; INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 8/2017, POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-12-02
  • S66 Uniform Combined State Law Examination
    2016-12-02

View on SEC IAPD

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