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Cetera Investment Advisers LLC CRD 105644
$257B regulatory AUM 24,019 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| PA | RA | APPROVED | 2024-03-21 |
Branch Locations
190 N Independence Mall West Suite 602, Philadelphia, PA 19106 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial, Llc | Philadelphia | PA | 06/2014 | 08/2018 |
| Private Advisor Group, Llc | Morristown | NJ | 09/2015 | 08/2018 |
| Cetera Advisors Llc | Denver | CO | 08/2018 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 03/2024 | Present |
(1) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 08/2018; APX NUMBER OF HOURS PER WEEK: 10; APX NUMBER OF HOURS DURING TRADING HOURS: 10; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY AND LONG TERM CARE; (2) NAME OF OTHER BUSINESS: PROFESSIONAL PLANNING ASSOCIATES, INC.; INVESTMENT RELATED: YES; ADDRESS: 400 MARKET STREET SUITE 360, PHILADELPHIA, PA 19106; NATURE OF BUSINESS: INSURANCE AND FINANCIAL SERVICES; START DATE: 08/2018; POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR / INSURANCE AGENT; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: INSURANCE AND FINANCIAL SERVICES;
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-11-16 |
| S63 | Uniform Securities Agent State Law Examination | 1998-10-30 |
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