Individual Firm
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SUZANNE RENAE ROHLIK HOLT
SUZANNE RENAE HOLT, SUZANNE RENAE ROHLIK
CRD#: 2744813
IA
B
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 6424 W Lake Street
Minneapolis, MN 55426
Minneapolis, MN 55426
CETERA ADVISOR NETWORKS LLCCRD#: 13572 6424 W Lake Street
Minneapolis, MN 55426
Minneapolis, MN 55426
0
Disclosures
27
Years of Experience
View By:
State Registrations
B
Alabama 8/14/2023
B
Minnesota 3/23/2023
B
Arizona 5/3/2023
IA
Minnesota 6/29/2023
B
California 5/3/2023
B
Missouri 5/3/2023
B
Colorado 5/3/2023
B
New York 4/27/2023
B
Florida 3/23/2023
B
Oregon 8/24/2023
B
Georgia 5/3/2023
B
South Carolina 5/3/2023
B
Idaho 3/23/2023
B
Texas 5/3/2023
B
Illinois 3/23/2023
IA
Texas 6/29/2023
IA
Illinois 6/29/2023
B
Wisconsin 3/23/2023
B
Iowa 5/3/2023
SRO Registrations
B
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IA
Registered with this firm since 6/29/2023
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Registered with this firm since 3/23/2023
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 03/23/2023 - 06/29/2023 | St Louis Park, MN | |
IA | 03/12/2021 - 03/23/2023 | Minneapolis, MN | |
B | 03/12/2021 - 03/23/2023 | Minneapolis, MN | |
IA | 05/09/2018 - 02/18/2021 | COON RAPIDS, MN | |
B | 05/09/2018 - 02/18/2021 | COON RAPIDS, MN | |
IA | 11/26/2013 - 01/29/2018 | LAKE ELMO, MN | |
B | 03/19/2004 - 01/29/2018 | LAKE ELMO, MN | |
B | 03/19/2004 - 07/03/2006 | MINNEAPOLIS, MN | |
B | 09/27/2000 - 02/10/2004 | PHOENIX, AZ | |
B | 06/25/1997 - 08/08/2000 | NEW YORK, NY | |
B | 07/02/1996 - 02/04/1997 | NEWARK, NJ |
For additional information about investment advisers or broker-dealers, please visit
B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.