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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
AZ RA APPROVED 2025-05-28
  • AZ RA
    APPROVED
    Since 2025-05-28

Branch Locations

7025 N Scottsdale Rd Ste 115, Scottsdale, AZ 85253 • 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
Mosaic Financial Associates Scottsdale AZ 05/2024 Present
Tommy Bahama Restaurant & Bar Scottsdale AZ 06/2023 05/2024
California Pizza Kitchen Phoenix AZ 09/2022 06/2023
Arrowhead Country Club Rapid City SD 05/2022 08/2022
California Pizza Kitchen Phoenix AZ 01/2022 05/2022
Carousel Arcade Bar Glendale AZ 10/2021 01/2022
The Front Porch Restaurant Keystone SD 05/2021 08/2021
Starbucks Phoenix AZ 01/2021 05/2021
The Front Porch Restaurant Keystone SD 05/2020 08/2020
Starbucks Rapid City SD 09/2018 05/2020
Grand Canyon University Phoenix AZ 08/2020 12/2023
Venture Kids Daycare Rapid City SD 05/2017 08/2017
Stevens High School Rapid City SD 08/2016 05/2020
Unemployed Rapid City SD 05/2016 05/2017
Cetera Advisors Llc St Cloud MN 05/2024 02/2025
Cetera Advisors Llc St Cloud MN 02/2025 Present
Cetera Investment Advisers Llc Schaumburg IL 05/2025 Present
  • 05/2024 → Present
    Mosaic Financial Associates
    Scottsdale, AZ
  • 06/2023 → 05/2024
    Tommy Bahama Restaurant & Bar
    Scottsdale, AZ
  • 09/2022 → 06/2023
    California Pizza Kitchen
    Phoenix, AZ
  • 05/2022 → 08/2022
    Arrowhead Country Club
    Rapid City, SD
  • 01/2022 → 05/2022
    California Pizza Kitchen
    Phoenix, AZ
  • 10/2021 → 01/2022
    Carousel Arcade Bar
    Glendale, AZ
  • 05/2021 → 08/2021
    The Front Porch Restaurant
    Keystone, SD
  • 01/2021 → 05/2021
    Starbucks
    Phoenix, AZ
  • 05/2020 → 08/2020
    The Front Porch Restaurant
    Keystone, SD
  • 09/2018 → 05/2020
    Starbucks
    Rapid City, SD
  • 08/2020 → 12/2023
    Grand Canyon University
    Phoenix, AZ
  • 05/2017 → 08/2017
    Venture Kids Daycare
    Rapid City, SD
  • 08/2016 → 05/2020
    Stevens High School
    Rapid City, SD
  • 05/2016 → 05/2017
    Unemployed
    Rapid City, SD
  • 05/2024 → 02/2025
    Cetera Advisors Llc
    St Cloud, MN
  • 02/2025 → Present
    Cetera Advisors Llc
    St Cloud, MN
  • 05/2025 → Present
    Schaumburg, IL
Other Businesses

1. NAME OF OTHER BUSINESS: MOSAIC FINANCIAL ASSOCIATES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 05/2024 POSITION/TITLE/RELATIONSHIP: CLIENT SERVICE REPRESENTATIVE APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: CLIENT COMMUNICATION, ACCOUNT MAINTENANCE, SCHEDULING, MARKETING.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-05-03
  • S66 Uniform Combined State Law Examination
    2025-05-03

View on SEC IAPD

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