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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 |
|---|---|---|---|
| VA | RA | APPROVED | 2024-03-21 |
Branch Locations
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Investors Capital Corp | Lynnfield | MA | 05/2007 | 10/2016 |
| Cetera Advisors Llc | St Cloud | MN | 10/2016 | Present |
| Jones, Llc | Chesapeake | VA | 02/2004 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 03/2024 | Present |
| Cetera Advisors Llc | St Cloud | MN | 10/2016 | 03/2024 |
1) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERD LOCATION, NATURE OF BUSINESS: FIXED INSURANCE, START DATE: 9/2016, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF TRADING HOURS PER WEEK: 32.5, POSITION/TITLE/RELATIONSHIP: AGENT, BRIEF DESCRIPTION OF DUTIES: LIFE, DISABILITY, & LONG TERM CARE. 2) NAME OF OTHER BUSINESS: JONES, LLC. INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 2/2004, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF TRADING HOURS PER WEEK: 32.5, POSITION/TITLE/RELATIONSHIP: OWNER/PRESIDENT, BRIEF DESCRIPTION OF DUTIES: DBA.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-10-20 |
| S63 | Uniform Securities Agent State Law Examination | 1988-02-03 |
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