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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
MN RA APPROVED 2024-11-21
MO RA APPROVED 2023-08-10
  • MN RA
    APPROVED
    Since 2024-11-21
  • MO RA
    APPROVED
    Since 2023-08-10

Branch Locations

5700 Oakland Ave Ste 400, St Louis, MO 63110 • United States

Saint Paul, MN • 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
Securian Financial Services, Inc. St. Paul MN 12/2016 03/2017
Securian Financial Services, Inc. St. Paul MN 03/2017 08/2023
Minnesota Life Insurance Co. St. Paul MN 11/2016 04/2022
Jeffrey P. Scott & Associates, Llc St Paul MN 08/2012 11/2016
Renaissance Financial St Louis MO 04/2022 Present
Cetera Wealth Services, Llc St. Louis MO 08/2023 Present
Cetera Investment Advisers Llc Schaumburg IL 08/2023 Present
  • 12/2016 → 03/2017
    Securian Financial Services, Inc.
    St. Paul, MN
  • 03/2017 → 08/2023
    Securian Financial Services, Inc.
    St. Paul, MN
  • 11/2016 → 04/2022
    Minnesota Life Insurance Co.
    St. Paul, MN
  • 08/2012 → 11/2016
    Jeffrey P. Scott & Associates, Llc
    St Paul, MN
  • 04/2022 → Present
    Renaissance Financial
    St Louis, MO
  • 08/2023 → Present
    Cetera Wealth Services, Llc
    St. Louis, MO
  • 08/2023 → Present
    Schaumburg, IL
Previous Registrations
  • 2017-09-05 → 2023-08-10
    Securian Financial Services, Inc.
    St Paul, MN
    St. Louis, MO
    St. Louis, MO
    St Paul, MN
    St. Paul, MN
Other Businesses

1. NAME OF OTHER BUSINESS: RENAISSANCE FINANCIAL INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: April 2022 POSITION/TITLE/RELATIONSHIP: Registered Staff APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: OFFER SECURITIES, INSURANCE AND ADVISORY SERVICES

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-08-09
  • S66 Uniform Combined State Law Examination
    2017-08-09
Other Names
  • Katherine Anne Wertheim
  • Katherine Iacarella

View on SEC IAPD

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