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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
OR RA APPROVED 2024-03-21
  • OR RA
    APPROVED
    Since 2024-03-21

Branch Locations

1956 Meade St, North Bend, OR 97459 • United States

Disclosures

2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action Yes
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
St.CLair Capital Ventures, Ltd North Bend OR 01/1982 Present
Cetera Advisors Llc El Segundo CA 01/2013 Present
Cetera Investment Advisers Llc Schaumburg IL 03/2024 Present
  • 01/1982 → Present
    St.CLair Capital Ventures, Ltd
    North Bend, OR
  • 01/2013 → Present
    Cetera Advisors Llc
    El Segundo, CA
  • 03/2024 → Present
    Schaumburg, IL
Previous Registrations
  • 2009-01-23 → 2011-10-24
    Securities America Advisors, Inc.
    Lavista, NE
  • 2007-10-01 → 2009-01-23
    Brecek & Young Advisors, Inc.
    North Bend, OR
    Folsom, CA
    North Bend, OR
Other Businesses

(1) INSURANCE, DBA, ST. CLAIR CAPITAL VENTURES, LTD, 1956 MEADE STREET, NORTH BEND, OREGON, 97459. (2) RENTAL PROPERTY,DBA, ST. CLAIR CAPITAL VENTURES, 1956 MEADE, NORTH BEND, OR 97459. NOT SECURITIES RELATED.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-09-25
S63 Uniform Securities Agent State Law Examination 1995-06-20
  • S66 Uniform Combined State Law Examination
    2007-09-25
  • S63 Uniform Securities Agent State Law Examination
    1995-06-20

View on SEC IAPD

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