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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
FL RA APPROVED 2024-09-18
  • FL RA
    APPROVED
    Since 2024-09-18

Branch Locations

Winter Garden, FL • 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
Cetera Financial Specialists Llc Schaumburg IL 02/2024 Present
Good Tax Solutions, Inc Winter Garden FL 10/2021 Present
Good Insurance, Inc. Winter Garden FL 10/2021 Present
Midwestern Contractors Elburn IL 03/2020 10/2021
Aston Carter Chicago IL 01/2020 03/2020
Midwestern Contractors Elburn IL 07/2019 08/2019
Illinois State Normal IL 08/2019 12/2019
Illinois State Normal IL 08/2018 06/2019
Precision Pipeline Champaign IL 07/2018 08/2018
Illinois State Normal IL 08/2017 06/2018
Texas Roadhouse Joliet IL 10/2013 08/2017
Cetera Investment Advisers Llc Schaumburg IL 09/2024 Present
  • 02/2024 → Present
    Cetera Financial Specialists Llc
    Schaumburg, IL
  • 10/2021 → Present
    Good Tax Solutions, Inc
    Winter Garden, FL
  • 10/2021 → Present
    Good Insurance, Inc.
    Winter Garden, FL
  • 03/2020 → 10/2021
    Midwestern Contractors
    Elburn, IL
  • 01/2020 → 03/2020
    Aston Carter
    Chicago, IL
  • 07/2019 → 08/2019
    Midwestern Contractors
    Elburn, IL
  • 08/2019 → 12/2019
    Illinois State
    Normal, IL
  • 08/2018 → 06/2019
    Illinois State
    Normal, IL
  • 07/2018 → 08/2018
    Precision Pipeline
    Champaign, IL
  • 08/2017 → 06/2018
    Illinois State
    Normal, IL
  • 10/2013 → 08/2017
    Texas Roadhouse
    Joliet, IL
  • 09/2024 → Present
    Schaumburg, IL
Other Businesses

1) GOOD TAX SOLUTIONS, INC, NOT INVESTMENT RELATED, WINTER GARDEN, FL, CO-OWNER, PREPARE TAX RETURNS, FINANCIAL STATEMENTS, 40H/WEEK, SINCE 10/2021. 2) GOOD INSURANCE, INC.., NOT INVESTMENT RELATED, WINTER GARDEN, FL, BOARD MEMBER, TREASURER, TECH SUPPORT, INSURANCE AGENCY PROVIDING HOMEOWNERS, AUTO, GENERAL LIABILITY INSURANCE, 1H/WEEK, SINCE 10/2021. 3) NAME OF OTHER BUSINESS: GOOD FINANCIAL INC.; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 05/2024; POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL; APX NUMBER OF HOURS PER WEEK: 5; APX NUMBER OF HOURS DURING TRADING HOURS: 5; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2024-08-28
S63 Uniform Securities Agent State Law Examination 2023-01-27
  • S65 Uniform Investment Adviser Law Examination
    2024-08-28
  • S63 Uniform Securities Agent State Law Examination
    2023-01-27

View on SEC IAPD

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