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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
TX RA APPROVED_RES 2019-04-09
MN RA APPROVED 2018-06-04
  • TX RA
    APPROVED_RES
    Since 2019-04-09
  • MN RA
    APPROVED
    Since 2018-06-04

Branch Locations

Hot Springs, AR • United States

St Cloud, MN • United States

Disclosures

1 disclosure category 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 No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Cetera Advisor Networks Llc St. Cloud MN 12/2013 06/2018
St. Cloud Federal Investment Services St. Cloud MN 12/2013 06/2018
Cetera Financial Specialists Llc Schaumburg IL 05/2018 Present
Cetera Investment Services Llc St Cloud MN 05/2018 05/2020
Cetera Investment Advisers Llc St Cloud MN 06/2018 Present
Cetera Advisor Networks Llc El Segundo CA 06/2018 05/2020
  • 12/2013 → 06/2018
    Cetera Advisor Networks Llc
    St. Cloud, MN
  • 12/2013 → 06/2018
    St. Cloud Federal Investment Services
    St. Cloud, MN
  • 05/2018 → Present
    Cetera Financial Specialists Llc
    Schaumburg, IL
  • 05/2018 → 05/2020
    Cetera Investment Services Llc
    St Cloud, MN
  • 06/2018 → Present
    St Cloud, MN
  • 06/2018 → 05/2020
    Cetera Advisor Networks Llc
    El Segundo, CA
Previous Registrations
  • 2013-12-20 → 2018-06-04
    Cetera Wealth Services, Llc
    St Cloud, MN
    Minnetonka, MN
    Sartell, MN
    St. Cloud, MN
    St Cloud, MN
Other Businesses

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: 12/2013 APX NUMBER OF HOURS PER WEEK: VARIES APX NUMBER OF HOURS DURING TRADING HOURS: VARIES POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, ANNUITIES AND LONG TERM CARE

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1986-08-11
  • S63 Uniform Securities Agent State Law Examination
    1986-08-11
Other Names
  • Jaclyn Rae Mace
  • Jaclyn Rae Waasdorp

View on SEC IAPD

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