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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
NE RA APPROVED 2024-03-21
TX RA APPROVED_RES 2024-03-21
FL RA APPROVED 2024-03-19
  • NE RA
    APPROVED
    Since 2024-03-21
  • TX RA
    APPROVED_RES
    Since 2024-03-21
  • FL RA
    APPROVED
    Since 2024-03-19

Branch Locations

111 West Main Street, Ste 201, Inverness, FL 34450 • United States

9290 W Dodge Rd Ste 200, Omaha, NE 68114 • 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 Advisors Llc Denver CO 01/2013 Present
Cetera Investment Advisers Llc Schaumburg IL 01/2024 Present
Cetera Investment Advisers Llc Omaha NE 03/2024 Present
Previous Registrations
  • 2001-06-14 → 2011-02-11
    Qa3 Financial Llc
    Omaha, NE
Other Businesses

1. INSURANCE, DBA, ILLUMINATE FINANCIAL GROUP, LLC, ADDRESS: SAME AS REGISTERED LOCATION; 2. NAME OF OTHER BUSINESS: ILLUMINATE FINANCIAL GROUP; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: SUBLEASING OFFICE SPACE; START DATE: 4/2021; POSITION/TITLE/RELATIONSHIP: PRODUCER/OSJ; APX NUMBER OF HOURS PER WEEK: 0; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: SUBLEASING OFFICE SPACE, RENTAL INCOME; 3. NAME OF OTHER BUSINESS: MISSION HILLS HOMEOWNERS ASSOCIATION; INVESTMENT RELATED: NO ADDRESS:168TH STREET OMAHA, NE 68135; NATURE OF BUSINESS: HOMEOWNERS ASSOCIATION; START DATE: 2010; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: 2 ; APX NUMBER OF HOURS DURING TRADING HOURS: 2 ; BRIEF DESCRIPTION OF DUTIES: HOMEOWNERS ASSOCIATION; 4. NAME OF OTHER BUSINESS: FORESTERS FINANCIAL; INVESTMENT RELATED: NO; ADDRESS: 2221 KENMORE AVE STE 108 BUFFALO, NY 14207; NATURE OF BUSINESS: INSURANCE SERVICES; START DATE: 3/1982; POSITION/TITLE/RELATIONSHIP: AGENT; APX NUMBER OF HOURS PER WEEK: UP TO 10; APX NUMBER OF HOURS DURING TRADING HOURS: UP TO 10 ; BRIEF DESCRIPTION OF DUTIES: SERVICE AND SALES OF LIFE INSURANCE;

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-01-29
S63 Uniform Securities Agent State Law Examination 1987-09-05
  • S65 Uniform Investment Adviser Law Examination
    2001-01-29
  • S63 Uniform Securities Agent State Law Examination
    1987-09-05

View on SEC IAPD

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