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

Branch Locations

721 Second Avenue, Sibley, IA 51249 • United States

17 West 2Nd Street, Remsen, IA 51050 • United States

105 Albany Ave Se, Orange City, IA 51041 • United States

Compass Lighthouse Capital, Llc

105 Albany Avenue Se, Orange City, IA 51041 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2021-11-08
IA RA APPROVED 2021-01-22
  • TX RA
    APPROVED_RES
    Since 2021-11-08
  • IA RA
    APPROVED
    Since 2021-01-22

Branch Locations

105 Albany Avenue Se, Orange City, IA 51041 • 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
Cetera Wealth Services, Llc El Segundo CA 01/2013 Present
Compass Lighthouse Capital, Llc Orange City IA 12/2020 Present
Cetera Investment Advisers Llc Schaumburg IL 07/2023 Present
Previous Registrations
  • 2020-12-15 → 2021-02-01
    Compass Lighthouse Capital, Llc
    Orange City, IA
  • 2007-11-01 → 2009-06-16
    Sioux Center, IA
    Palm Beach Gardens, FL
    Palm Beach Gardens, FL
    Sioux Center, IA
  • 2005-08-08 → 2007-11-08
    Cetera Wealth Services, Llc
    Sioux Center, IA
Other Businesses

(1) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED: YES, POSITION/TITLE/RELATIONSHIP: REPRESENTATIVE, BRIEF DESCRIPTION OF DUTIES: SELLS FIXED LIFE, ANNUITIES AND LONG TERM CARE; (2) NAME OF OTHER BUSINESS: ISB WEALTH MANAGEMENT, INVESTMENT RELATED: YES, NATURE OF BUSINESS: FINANCIAL SERVICES, POSITION/TITLE/RELATIONSHIP: REPRESENTATIVE, START DATE: 12/2011, APPROX NUMBER OF HOURS PER MONTH: 160, BRIEF DESCRIPTION OF DUTIES: SELL FINANCIAL SERVICES; (3) ORANGE CITY AREA HEALTH SYSTEM, NOT INVESTMENT RELATED, 1000 LINCOLN CIRCLE, ORANGE CITY, IA 51041, HOSPITAL BOARD, START 11/01/2014, 1HR/WK (NON-TRADING HOURS), HOSPITAL BOARD MEMBER; (4) NAME OF OTHER BUSINESS: COMPASS LIGHTHOUSE CAPITAL; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: ADVISORY BUSINESS; POSITION/TITLE/RELATIONSHIP: ADVISORY REPRESENTATIVE; START DATE: 1/2021; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: FINANCIAL PLANNING, ASSET MANAGEMENT, THIRD-PARTY MONEY MANAGEMENT;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-07-28
S65 Uniform Investment Adviser Law Examination 2002-09-23
S63 Uniform Securities Agent State Law Examination 1999-03-05
  • S66 Uniform Combined State Law Examination
    2005-07-28
  • S65 Uniform Investment Adviser Law Examination
    2002-09-23
  • S63 Uniform Securities Agent State Law Examination
    1999-03-05
Other Names
  • Chris Immeker
  • Chris J Immeker

View on SEC IAPD

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