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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
RI RA APPROVED 2023-08-10
TX RA APPROVED_RES 2023-08-10
  • RI RA
    APPROVED
    Since 2023-08-10
  • TX RA
    APPROVED_RES
    Since 2023-08-10

Branch Locations

117 Metro Ctr Blvd Ste 2008, Warwick, RI 02886 • 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
Minnesota Life St. Paul MN 12/1999 08/2023
Securian Financial Services St. Paul MN 12/1999 08/2023
Pioneer Financial Group Providence RI 12/1999 Present
Cetera Wealth Services, Llc Warwick RI 08/2023 Present
Cetera Investment Advisers Llc Schaumburg IL 08/2023 Present
Kj Capitol Llc North Kingstown RI 05/2025 Present
  • 12/1999 → 08/2023
    Minnesota Life
    St. Paul, MN
  • 12/1999 → 08/2023
    Securian Financial Services
    St. Paul, MN
  • 12/1999 → Present
    Pioneer Financial Group
    Providence, RI
  • 08/2023 → Present
    Cetera Wealth Services, Llc
    Warwick, RI
  • 08/2023 → Present
    Schaumburg, IL
  • 05/2025 → Present
    Kj Capitol Llc
    North Kingstown, RI
Previous Registrations
  • 2002-01-02 → 2023-08-10
    Securian Financial Services, Inc.
    Windsor, CT
    Manchester, CT
    Warwick, RI
    Meriden, CT
    St. Paul, MN
Other Businesses

1) NAME OF OTHER BUSINESS: ELITE BROKERAGE SERVICES INC.; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: INSURANCE SERVICES; START DATE: 06/2008; POSITION/TITLE/RELATIONSHIP: MAJORITY SHAREHOLDER; APX NUMBER OF HOURS PER WEEK: 3; APX NUMBER OF HOURS DURING TRADING HOURS: 3; BRIEF DESCRIPTION OF DUTIES: OVERSEE THE COMPANY 2) FIXED INSURANCE BROKERAGE POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 01/01/1995 ADDRESS: , North Kingston RI , United States DESCRIPTION: Agent/Broker 3) METROEAST OFFICE CONDOMINIUM I INC. POSITION: Advisory Board NATURE: Board Member INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 01/01/2015 ADDRESS: , Warwick RI , United States DESCRIPTION: Advisory Board 4) NAME OF OTHER BUSINESS: NOTARY PUBLIC COMMISSION; INVESTMENT RELATED: NO ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: NOTARIZING DOCUMENTS ; START DATE: 01/2018; POSITION/TITLE/RELATIONSHIP: NOTARY ; APX NUMBER OF HOURS PER WEEK: 1 ; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: NOTARIZING DOCUMENTS ; 5) PFG HOLDINGS INC. POSITION: Owner NATURE: Rental Property INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 02/01/2008 ADDRESS: , Warwick RI , United States DESCRIPTION: Owner 6) RAM ISLAND PROPERTIES LLC POSITION: Owner NATURE: Rental Property INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 09/01/2017 ADDRESS: , Charlestown RI , United States DESCRIPTION: Owner 7) NAME OF OTHER BUSINESS: PIONEER FINANCIAL GROUP INC., INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 11/1999, POSITION/TITLE/RELATIONSHIP: PRESIDENT, APX NUMBER OF HOURS PER WEEK: 44, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: OVERSEE THE ORGAINIZATIN; 8) NAME OF OTHER BUSINESS: PIONEER FINANCIAL GROUP; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 11/1999; POSITION/TITLE/RELATIONSHIP: PRESIDENT/CEO; APX NUMBER OF HOURS PER WEEK: 100; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 9) NAME OF OTHER BUSINESS: KJ CAPITOL LLC; INVESTMENT RELATED: NO; ADDRESS: SAME AS RESIDENTIAL LOCATION; NATURE OF BUSINESS: EXPENSE MANAGEMENT; START DATE: 5/2025; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: LLC CREATED FOR EXPENSE/TAX MANAGEMENT PURPOSES;

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-01-23
S63 Uniform Securities Agent State Law Examination 1992-01-20
  • S65 Uniform Investment Adviser Law Examination
    1997-01-23
  • S63 Uniform Securities Agent State Law Examination
    1992-01-20
Designations

View on SEC IAPD

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