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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 |
|---|---|---|---|
| NC | RA | APPROVED | 2025-09-05 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Tiaa | Charlotte | NC | 08/2006 | 04/2017 |
| Cuso Financial Services, Lp | San Diego | CA | 02/2018 | 06/2019 |
| Fidelity Personal And Workplace Advisors | Charlotte | NC | 06/2019 | 03/2020 |
| Ally Invest Advisors | Charlotte | NC | 04/2021 | 04/2022 |
| Stephens Consulting, Llc | Huntersville | NC | 04/2022 | 11/2023 |
| Upticks Coaching | Huntersville | NC | 03/2020 | 04/2021 |
| Upticks Coaching | Huntersville | NC | 04/2017 | 02/2018 |
| Avantax Advisory Services | Dallas | TX | 11/2023 | 09/2025 |
| Avantax Investment Services, Inc. | Dallas | TX | 11/2023 | 09/2025 |
| Cetera Wealth Services, Llc | El Segundo | CA | 02/2025 | Present |
| Cetera Advisors Llc | Greenwood Village | CO | 02/2025 | Present |
| Cetera Investment Services Llc | St Cloud | MN | 02/2025 | Present |
| Cetera Financial Specialists Llc | Schaumburg | IL | 02/2025 | Present |
| Cetera Wealth Services, Llc | El Segundo | CA | 09/2025 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 09/2025 | Present |
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2024-02-21 |
| S66 | Uniform Combined State Law Examination | 2006-11-06 |
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