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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
TX RA APPROVED_RES 2024-01-03
IA RA APPROVED 2023-08-10
  • TX RA
    APPROVED_RES
    Since 2024-01-03
  • IA RA
    APPROVED
    Since 2023-08-10

Branch Locations

6839 Crow Wing Dr Ne, Cedar Rapids, IA 52411 • United States

2900 100Th St St 301, Urbandale, IA 50322 • 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 01/2001 08/2023
Guide Financial Group Urbandale IA 10/2013 Present
Polk County Election Office Des Moines IA 06/2022 Present
Cetera Wealth Services, Llc Urbandale IA 08/2023 Present
Cetera Investment Advisers Llc Schaumburg IL 08/2023 Present
  • 01/2001 → 08/2023
    Securian Financial Services, Inc.
    St. Paul, MN
  • 10/2013 → Present
    Guide Financial Group
    Urbandale, IA
  • 06/2022 → Present
    Polk County Election Office
    Des Moines, IA
  • 08/2023 → Present
    Cetera Wealth Services, Llc
    Urbandale, IA
  • 08/2023 → Present
    Schaumburg, IL
Previous Registrations
  • 2003-04-23 → 2023-08-10
    Securian Financial Services, Inc.
    West Des Moines, IA
    St Paul, MN
    Urbandale, IA
    West Des Moines, IA
    Cedar Rapids, IA
    St. Paul, MN
Other Businesses

1. GUIDE FINANCIAL GROUP POSITION: Employee NATURE: DBA INVESTMENT RELATED: No NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 15 START DATE: 02/01/2018 ADDRESS: , Urbandale IA , United States DESCRIPTION: Employee 2. VILLAS OF GREY HAWK HOA POSITION: Treasurer NATURE: HOA Board Member INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2007 ADDRESS: , West Des Moines IA , United States DESCRIPTION: Review monthly reports and give updates at board meetings. All decisions made with majority vote of board members. 3. POLK COUNTY ELECTION OFFICE POSITION: Independent Contractor NATURE: precinct election official INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 8 START DATE: 06/07/2022 ADDRESS: 120 2nd Ave, Des Moines IA 50309, United States DESCRIPTION: I volunteered to be a poll worker; 4. NAME OF OTHER BUSINESS: N/A INVESTMENT RELATED: NO, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: NOTARIAL SERVICES, START DATE:04/2014, POSITION/TITLE/RELATIONSHIP: NOTARY, APX NUMBER OF HOURS PER WEEK: 1, APX NUMBER OF HOURS DURING TRADING HOURS: 1, BRIEF DESCRIPTION OF DUTIES: NOTARIZE DOCUMENTS AS NEEDED.; 5. NAME OF OTHER BUSINESS: REDEMPTION HILL CHURCH BUDGET TEAM; INVESTMENT RELATED: NO; ADDRESS: 5411 10TH AVE, CUMMING, IA 50061; NATURE OF BUSINESS: BOARD; START DATE: 2/2026; POSITION/TITLE/RELATIONSHIP: BUDGET TEAM MEMBER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: ASSIST WITH OVERSIGHT OF THE CHURCH'S ANNUAL BUDGETING PROCESS, MONITORING GIVING, EXPENSES, CASH FLOW, AND FINANCIAL RESERVES, AND REVIEWING THE BUDGET;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2001-05-30
  • S66 Uniform Combined State Law Examination
    2001-05-30

View on SEC IAPD

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