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

Branch Locations

1971 East Beltline Ave Ne Ste 200-A, Grand Rapids, MI 49525 • 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
Amerus Life Des Moines IA 07/1987 07/2018
Cetera Wealth Services, Llc El Segundo CA 01/2013 Present
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
  • 07/1987 → 07/2018
    Amerus Life
    Des Moines, IA
  • 01/2013 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 06/2023 → Present
    Schaumburg, IL
Other Businesses

(1) SOLICITS AND SELLS FIXED INSURANCE AND ANNUITY PRODUCTS (LIFE, HEALTH, DI, ANNUITIES AND LTC) (2) NAME OF OTHER BUSINESS: N/A ; INVESTMENT RELATED: NO ; ADDRESS: HARBOR SPRINGS MI 49740 ; NATURE OF BUSINESS: REAL ESTATE ; START DATE: 08/2021 POSITION/TITLE/RELATIONSHIP: OWNER ; APX NUMBER OF HOURS PER WEEK: LESS THAN 1 ; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1 ; BRIEF DESCRIPTION OF DUTIES: RENTAL PROPERTY WHICH WILL BE LEASED OUT DURING SKI SEASON ;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2010-11-16
S63 Uniform Securities Agent State Law Examination 1988-01-08
  • S66 Uniform Combined State Law Examination
    2010-11-16
  • S63 Uniform Securities Agent State Law Examination
    1988-01-08
Other Names
  • Mark Hoffman

View on SEC IAPD

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