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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:

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 2024-02-05
MO RA APPROVED 2023-08-10
  • TX RA
    APPROVED_RES
    Since 2024-02-05
  • MO RA
    APPROVED
    Since 2023-08-10

Branch Locations

5700 Oakland Ave Ste 400, St Louis, MO 63110 • United States

Ballwin, MO • 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 Community Credit Union Chesterfield MO 03/2015 08/2017
Td Ameritrade St Louis MO 09/2017 07/2020
Securian Financial Services Inc St Paul MN 07/2020 11/2020
Minnesota Life Insurance Co St Paul MN 07/2020 11/2020
Renaissance Financial Corp St Louis MO 07/2020 11/2020
Securian Financial Services Inc St. Paul MN 11/2020 08/2023
Renaissance Financial St. Louis MO 11/2020 Present
Cetera Wealth Services, Llc St. Louis MO 08/2023 Present
Cetera Investment Advisers Llc Schaumburg IL 08/2023 Present
  • 03/2015 → 08/2017
    First Community Credit Union
    Chesterfield, MO
  • 09/2017 → 07/2020
    Td Ameritrade
    St Louis, MO
  • 07/2020 → 11/2020
    Securian Financial Services Inc
    St Paul, MN
  • 07/2020 → 11/2020
    Minnesota Life Insurance Co
    St Paul, MN
  • 07/2020 → 11/2020
    Renaissance Financial Corp
    St Louis, MO
  • 11/2020 → 08/2023
    Securian Financial Services Inc
    St. Paul, MN
  • 11/2020 → Present
    Renaissance Financial
    St. Louis, MO
  • 08/2023 → Present
    Cetera Wealth Services, Llc
    St. Louis, MO
  • 08/2023 → Present
    Schaumburg, IL
Previous Registrations
  • 2020-09-01 → 2023-08-10
    Securian Financial Services, Inc.
    St. Louis, MO
    St. Paul, MN
Other Businesses

1. NAME OF OTHER BUSINESS: RENAISSANCE FINANCIAL INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: July 2020 POSITION/TITLE/RELATIONSHIP: Registered Staff/Principal APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: OFFER SECURITIES, INSURANCE AND ADVISORY SERVICES

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2020-08-07
S63 Uniform Securities Agent State Law Examination 2017-11-28
  • S65 Uniform Investment Adviser Law Examination
    2020-08-07
  • S63 Uniform Securities Agent State Law Examination
    2017-11-28
Other Names
  • Martin Phillip Husak

View on SEC IAPD

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