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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
MN RA APPROVED 2023-06-29
  • MN RA
    APPROVED
    Since 2023-06-29

Branch Locations

130 23Rd Ave Sw, Rochester, MN 55902 • United States

9357 Via Piazza Ct, Fort Myers, FL 33905 • 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
Jra Financial Maple Grove MN 04/2007 12/2016
Cetera Advisor Networks Llc El Segundo CA 01/2013 09/2022
Advisornet Financial Inc. Dba Jra Financial Maple Grove MN 01/2017 03/2020
Advisornet Financial Inc. Dba Advisornet Financial Partners Maple Grove MN 04/2019 11/2020
Advisornet Financial Inc Dba Portfolio Partners Maple Grove MN 01/2017 09/2022
Unemployed Champlin MN 09/2022 03/2023
Cetera Wealth Services, Llc El Segundo CA 03/2023 Present
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
Deebee'S Portfolio Management & Trading Services Llc Champlin MN 06/2023 Present
  • 04/2007 → 12/2016
    Jra Financial
    Maple Grove, MN
  • 01/2013 → 09/2022
    Cetera Advisor Networks Llc
    El Segundo, CA
  • 01/2017 → 03/2020
    Advisornet Financial Inc. Dba Jra Financial
    Maple Grove, MN
  • 04/2019 → 11/2020
    Advisornet Financial Inc. Dba Advisornet Financial Partners
    Maple Grove, MN
  • 01/2017 → 09/2022
    Advisornet Financial Inc Dba Portfolio Partners
    Maple Grove, MN
  • 09/2022 → 03/2023
    Unemployed
    Champlin, MN
  • 03/2023 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 06/2023 → Present
    Schaumburg, IL
  • 06/2023 → Present
    Deebee'S Portfolio Management & Trading Services Llc
    Champlin, MN
Other Businesses

1. NAME OF OTHER BUSINESS: MAYO EMPLOYEES FEDERAL CREDIT UNION DBA MAYO EMPLOYEES FEDERAL CREDIT UNION INVESTMENTS; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: CREDIT UNION; POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL - NOT EMPLOYED BY THE INSTITUTION; START DATE: 03/2023; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 40; BRIEF DESCRIPTION OF DUTIES: FINANCIAL PROFESSIONAL - NOT EMPLOYED BY THE INSTITUTION; 2. NAME OF OTHER BUSINESS: EAGLEBROOK CHURCH; INVESTMENT RELATED: NO; ADDRESS: 1100 W MAIN ST, US-10, ANOKA, MN 55303; NATURE OF BUSINESS: CHURCH; START DATE: 10/2018; POSITION/TITLE/RELATIONSHIP: CASHIER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: NONE; BRIEF DESCRIPTION OF DUTIES: SELL COFFEE AND BOOKS TO MEMBERS AND EMPLOYEES; 3. NAME OF OTHER BUSINESS: MAYO EMPLOYEES FEDERAL CREDIT UNION DBA MAYO EMPLOYEES FEDERAL CREDIT UNION INVESTMENTS; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 03/2023; POSITION/TITLE/RELATIONSHIP: REGISTERED REPRESENTATIVE; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 40; BRIEF DESCRIPTION OF DUTIES: ACCOUNT MANAGEMENT, TRADING, AND ANY OTHER RELATED ACTIVITIES; 4. NAME OF OTHER BUSINESS: DEEBEE'S PORTFOLIO MANAGEMENT & TRADING SERVICES LLC; INVESTMENT RELATED: YES, ADDRESS: SAME AS RESIDENTIAL LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 6/2023, POSITION/TITLE/RELATIONSHIP: OWNER, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2023-05-03
S63 Uniform Securities Agent State Law Examination 1992-01-14
  • S65 Uniform Investment Adviser Law Examination
    2023-05-03
  • S63 Uniform Securities Agent State Law Examination
    1992-01-14
Other Names
  • Diahnn Rene Obert
  • Diahnn Rene Borowicz

View on SEC IAPD

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