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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
IA RA APPROVED 2024-03-21
TX RA APPROVED_RES 2024-03-21
  • IA RA
    APPROVED
    Since 2024-03-21
  • TX RA
    APPROVED_RES
    Since 2024-03-21

Branch Locations

Madrid, IA • United States

5550 Wild Rose Lane Ste 400, West Des Moines, IA 50266 • 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
Cetera Advisors Llc El Segundo CA 01/2013 Present
Cetera Investment Advisers Llc Schaumburg IL 03/2024 Present
Other Businesses

1. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FIXED INSURANCE, START DATE: 10/2021, APX NUMBER OF HOURS PER WEEK: VARIES, APX NUMBER OF HOURS DURING TRADING HOURS: VARIES, POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT , BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, AND FIXED ANNUITIES; 2. DBA PRIVATE ASSET ADVISORY GROUP LLC; INVESTMENT RELATED; ADDRESS IS THE REGISTERED LOCATION; FINANCIAL SERVICES AND INSURANCE SALES; START 05/1995; 40 HOURS/WEEK DURING SECURITIES TRADING HOURS; FINANCIAL ADVISOR/OWNER. 3. KIWANIS MIRACLE LEAGUE FIELD; NOT INVESTMENT RELATED; 529 SW 5TH STREET, DES MOINES, IA 50309; CHARITABLE ORGANIZATION; START 10/2013; 3 HOURS/WEEK AFTER TRADING HOURS; BOARD DIRECTOR. 4. NAME OF OTHER BUSINESS: YOUNG CHILDREN - PRIORITY ONE; INVESTMENT RELATED: NO; ADDRESS: 1015 35TH STREET, DES MOINES, IA 50311; NATURE OF BUSINESS: 501(C)(3); START DATE: 10/2018; POSITION/TITLE/RELATIONSHIP: BOARD DIRECTOR / TREASURER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: KEEP FINANCIAL RECORDS AND MAKE AVAILABLE TO DIRECTORS AS REQUESTED. NO ACCESS TO CORPORATE FUNDS; 5. LORA'S COLLEGE WEALTH MANAGEMENT STUDENTS, INVESTMENT RELATED, 1450 ALTA VISTA DR, DUBUQUE, IA 52001, SCHOLASTIC, STARTED 10/2019 POSITION/TITLE/RELATIONSHIP: STUDENT ADVISORY COUNCIL MEMBER, LESS THAN 1 HOUR PER WEEK, NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: DISCUSS THE WEALTH MANAGEMENT PROGRAM WITH STUDENTS AND ADVISE ABOUT THE PROFESSION.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2001-05-08
S63 Uniform Securities Agent State Law Examination 1987-11-09
  • S66 Uniform Combined State Law Examination
    2001-05-08
  • S63 Uniform Securities Agent State Law Examination
    1987-11-09

View on SEC IAPD

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