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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
CO RA APPROVED 2024-03-21
  • CO RA
    APPROVED
    Since 2024-03-21

Branch Locations

6855 S Havana St Ste 270, Centennial, CO 80112 • United States

Parker, CO • 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
Cirrus Financial Group Inc Aurora CO 12/1991 Present
Cetera Advisors Llc Denver CO 02/2015 Present
Cetera Investment Advisers Llc Schaumburg IL 03/2024 Present
  • 12/1991 → Present
    Cirrus Financial Group Inc
    Aurora, CO
  • 02/2015 → Present
    Cetera Advisors Llc
    Denver, CO
  • 03/2024 → Present
    Schaumburg, IL
Previous Registrations
  • 2002-03-09 → 2015-02-17
    Ann Arbor, MI
    Centennial, CO
Other Businesses

1.DBA: CIRRUS FINANCIAL GROUP INC., INVESTMENT RELATED, ADDRESS IS THE REGISTERED LOCATION, FINANCIAL AND INSURANCE SERVICES, BUSINESS, START 1991, 40 HOURS PER WEEK - DURING TRADING HOURS, PRESIDENT, REGISTERED REPRESENTATIVE. 2.FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED, ADDRESS IS THE REGISTERED LOCATION, START FEBRUARY 2015, 2 HOURS PER WEEK - VARIES DURING TRADING HOURS, INSURANCE AGENT - SELLS LIFE, HEALTH, DISABILITY, ANNUITIES, LONG-TERM CARE, CROP, PROPERTY AND CASUALTY, AND AUTO. 3. NAME OF OTHER BUSINESS: PBR STREET GANG LLC, INVESTMENT RELATED: NO, ADDRESS: SAME AS RESIDENTIAL ADDRESS, NATURE OF BUSINESS: PERSONAL LLC FOR HOLDINGS, APX NUMBER OF HOURS PER WEEK: 1, APX NUMBER OF TRADING HOURS PER WEEK: 1, POSITION/TITLE/RELATIONSHIP: MANAGER & 50% OWNER, BRIEF DESCRIPTION OF DUTIES: TAXES AND OPERATION OF LLC; 4. NAME OF OTHER BUSINESS: MASON INSURANCE INC.; INVESTMENT RELATED: YES; ADDRESS: 110 E. C STREET, MCCOOK, NE 69001; NATURE OF BUSINESS: INSURANCE; START DATE: 04/2017; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 10; APX NUMBER OF HOURS DURING TRADING HOURS: 10; BRIEF DESCRIPTION OF DUTIES: MANAGING THE CURRENT BUSINESS AND SELLING COMPANY; 5. NAME OF OTHER BUSINESS: TERRAIN INC. LANDSCAPE COMPANY; INVESTMENT RELATED: NO; ADDRESS: 575 LIPAN ST, DENVER, CO 80204; NATURE OF BUSINESS: MARKETING & DESIGN; START DATE: 6/2023; POSITION/TITLE/RELATIONSHIP: MARKET/DESIGN ASSOCIATE; APX NUMBER OF HOURS PER WEEK: 1-2; APX NUMBER OF HOURS DURING TRADING HOURS: 1-2; BRIEF DESCRIPTION OF DUTIES: HELP WITH MARKETING DUTIES, MAILERS, EMAIL, WEBSITE DESIGN, & SOME DESIGN WORK;

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1989-07-21
  • S63 Uniform Securities Agent State Law Examination
    1989-07-21

View on SEC IAPD

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