Karen Sue Patel

Employer firm

Cetera Investment Advisers LLC CRD 105644

$257B regulatory AUM 24,019 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 08/2016 → 08/2023
  Securian Financial Services, Inc.
  St. Paul, MN
• 08/2016 → 08/2023
  Minnesota Life Insurance Co.
  St. Paul, MN
• 08/2016 → 02/2019
  Tax & Financial Group
  Newport Beach, CA
• 02/2019 → Present
  North Star Resource Group
  Denver, CO
• 02/2020 → 11/2025
  North Metro Denver Small Business Development Center
  Westminster, Co 80031, CO
• 08/2023 → Present
  Cetera Wealth Services, Llc
  Denver, CO
• 08/2023 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2017-01-09 → 2023-08-10
  Securian Financial Services, Inc.
  Newport Beach, CA
  Denver, CO
  Minneapolis, MN
  Denver, CO
  Firestone, CO
• 2014-10-27 → 2016-08-16
  Mml Investors Services, Llc
  Newport Beach, CA

Other Businesses

1. NORTH STAR CONSULTANTS & NORTH STAR BROKERAGE RESOURCE GROUP POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 01/01/2019 ADDRESS: 2701 University Ave SE, Minneapolis MN 55414, United States DESCRIPTION: Updated version of firm fixed insur activity OBA. Offering clients group/EE benefits and fixed insurance options outside of the carriers that have selling arrangements with Sec Fin or MN Life Insur Co. 2. STONERIDGE HOMEOWNERS ASSOC POSITION: Director NATURE: Board Member INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 1 START DATE: 06/01/2022 ADDRESS: MSI-11002 Benton St, Westminster CO 80020, United States DESCRIPTION: Provide leadership in relations to existing HOA rules and guidelines with homeowners to beautify and strengthen the association. 3. NAME OF OTHER BUSINESS: NORTH STAR RESOURCE GROUP; INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 8/2023, 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

• S65 Uniform Investment Adviser Law Examination
  2014-10-02
• S63 Uniform Securities Agent State Law Examination
  2013-04-24

Other Names

• Karen Sue Stoller