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

Branch Locations

555 Wildwood Road, West Bend, WI 53090 • United States

439 E Washington St, Slinger, WI 53086 • United States

116 W Sumner St, Hartford, WI 53027 • 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
First National Bank Of Hartford Hartford WI 03/2013 04/2017
First National Bank Of Hartford Dba Fnb Hartford Investment Svcs Hartford WI 07/2019 Present
Voya Financial Advisors, Inc. Hartford WI 10/2018 06/2021
Cetera Wealth Services, Llc El Segundo CA 06/2021 Present
Voya Financial Advisors, Inc. Hartford WI 04/2017 10/2018
First National Bank Of Hartford Dba Fnb Hartford Investment Svcs Hartford WI 04/2017 06/2019
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
  • 03/2013 → 04/2017
    First National Bank Of Hartford
    Hartford, WI
  • 07/2019 → Present
    First National Bank Of Hartford Dba Fnb Hartford Investment Svcs
    Hartford, WI
  • 10/2018 → 06/2021
    Hartford, WI
  • 06/2021 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 04/2017 → 10/2018
    Hartford, WI
  • 04/2017 → 06/2019
    First National Bank Of Hartford Dba Fnb Hartford Investment Svcs
    Hartford, WI
  • 06/2023 → Present
    Schaumburg, IL
Previous Registrations
Other Businesses

1.) NAME OF ENTITY:Forte Bank; Yes; 116 W SUMNER ST; HARTFORD; WI; 53027; FINANCIAL SERVICES; ASSISTANT; 4/1/2017; 80; 65; PROVIDE ADMIN DUTIES| 2.) NAME OF ENTITY: INDEPENDENT INSURANCE AGENT; Yes; 116 W SUMNER ST; HARTFORD; WI; 53027; FIXED INSURANCE SALES; INDEPENDENT INSURANCE AGENT; 10/17/2018; 160; 160; SALE OF FIXED INSURANCE PRODUCTS.| 3.) NAME OF OTHER BUSINESS: HARTFORD CHAMBER OF COMMERCE, INVESTMENT RELATED: NO, ADDRESS: 1246A E SUMNER ST; HARTFORD; WI; 53027; NATURE OF BUSINESS: CIVIC, START DATE: 02/2023, POSITION/TITLE/RELATIONSHIP: PRESIDENT, APX NUMBER OF HOURS PER WEEK: 3, MAY BE DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: MAKE POLICY DECISIONS AND PROVIDE OVERALL DIRECTION FOR THE EXECUTIVE DIRECTOR AND CHAMBER. 4.) NAME OF OTHER BUSINESS: FORTE FINANCIAL ADVISORS ; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: FINANCIAL SERVICES ; START DATE: 1/2022 ; 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
CodeExamDate
S66 Uniform Combined State Law Examination 2019-05-30
  • S66 Uniform Combined State Law Examination
    2019-05-30

View on SEC IAPD

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