Wendy Engen

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

Authority	Category	Status	Date
MN	RA	APPROVED	2023-06-29

MN RA
APPROVED

Since 2023-06-29

Branch Locations

Blaine, MN • 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

Organization	City	State	From	To
Cetera Wealth Services, Llc	El Segundo	CA	01/2013	Present
Cetera Investment Advisers Llc	Schaumburg	IL	06/2023	Present

01/2013 → Present

Cetera Wealth Services, Llc

El Segundo, CA
06/2023 → Present

Cetera Investment Advisers Llc

Schaumburg, IL

Other Businesses

1. NAME OF OTHER BUSINESS: LAKES OF BLAINE HOMEOWNERS ASSOCIATION INVESTMENT RELATED: NO ADDRESS: 12102 HARPERS COURT NE, BLAINE, MN 55449 NATURE OF BUSINESS: HOMEOWNERS ASSOCIATION START DATE: 06/07/2016 POSITION/TITLE/RELATIONSHIP: SECRETARY APX NUMBER OF HOURS PER WEEK: LESS THAN 1 HOUR APX NUMBER OF HOURS DURING TRADING HOURS: VARIES BRIEF DESCRIPTION OF DUTIES: TAKING MEETING NOTES AND ASSISTING HOMEOWNERS WITH COMPLAINTS OR ISSUES.

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	2012-09-07

S63 Uniform Securities Agent State Law Examination

2012-09-07

Other Names

Wendy Brainerd

View on SEC IAPD