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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 |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2022-07-27 |
| IL | RA | APPROVED | 2017-08-29 |
Branch Locations
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Guardian Life Insurace Co. Of America | New York | NY | 03/1997 | Present |
| Tower Financial Group Limited | Warren | IL | 01/2000 | Present |
| Citizens State Bank | Lena | IL | 01/2000 | Present |
| Cetera Investment Services Llc | St. Cloud | MN | 01/2000 | Present |
| Cetera Investment Advisers Llc | Lena | IL | 08/2017 | Present |
"1.)TO INFORM YOU ABOUT PART TIME WORK I AM DOING WITH TOWER FINANCIAL GROUP LTD. THE ADDRESS IS 5433 1/2 EAST STAGECOACH TRAIL, APPLE RIVER, IL 61001. THE PHONE NUMBER IS 815-594-2200. MY JOB DUTIES ARE TECHNICAL ADVISING ON COMPUTER RELATED ISSUES AND SOME CLERICAL. I WORK ON AN AS NEEDED BASIS. 2.)CITIZENS STATE BANK, ASSISTANT TRUST OFFICER, ALL TRUST ACCOUNTS THROUGH PRIMEVEST." 3.) BANQUET CHAIRMAN FOR PHEASANTS FOREVER, FACILITATING AND ASSIGNING DUTIES FOR FUND RAISING BANQUET ANNUALLY- (2)LAWN MAINTENANCE/UP-KEEP AND CARRIAGE DRIVER FOR WEDDINGS.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2017-07-25 |
| S63 | Uniform Securities Agent State Law Examination | 2000-01-18 |
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