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GWEN MARIE BERKENPAS
GWEN M BERKENPAS
CRD#: 4077019
IA
Investment Adviser
B
Broker
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 234 5TH AVE SW
LE MARS, IA 51031
CETERA INVESTMENT SERVICES LLCCRD#: 15340 234 5TH AVE SW
LE MARS, IA 51031
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2007 - 2009 (1 year)2 FIRMS2009 - 2011 (1 year)2 FIRMS2011 - 2016 (5 years)2 FIRMS2016 - Present (8 years)BWELLS FARGO INVESTMENTS, LLC (CRD# 10582)2002 - 2007 (5 years)BROYAL ALLIANCE ASSOCIATES, INC. (CRD# 23131)2001 - 2002 (1 year)BMORGAN STANLEY DW INC. (CRD# 7556)2000 - 2001 (1 year)
License(s)

State Registrations

B
Colorado 2/27/2020

B
Montana 11/22/2021

B
Iowa 9/12/2016

B
Nebraska 10/15/2020

IA
Iowa 9/12/2016

B
South Dakota 1/12/2017

B
Minnesota 2/14/2018

B
Wisconsin 11/3/2017

B
Missouri 2/20/2018

B
Wyoming 8/16/2021

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CETERA INVESTMENT ADVISERS LLC (CRD#:105644)
234 5TH AVE SW, LE MARS, IA 51031
Registered with this firm since 9/12/2016

B
CETERA INVESTMENT SERVICES LLC (CRD#:15340)
234 5TH AVE SW, LE MARS, IA 51031
Registered with this firm since 9/12/2016

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
02/18/2011 - 09/01/2016 ROBERT W. BAIRD & CO. INCORPORATED (CRD#:8158) SIOUX CITY, IA
B
02/18/2011 - 09/01/2016 ROBERT W. BAIRD & CO. INCORPORATED (CRD#:8158) SIOUX CITY, IA
IA
06/01/2009 - 02/28/2011 MORGAN STANLEY SMITH BARNEY LLC (CRD#:149777) SIOUX CITY, IA
B
06/01/2009 - 02/28/2011 MORGAN STANLEY SMITH BARNEY (CRD#:149777) SIOUX CITY, IA
IA
11/06/2007 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) SIOUX CITY, IA
B
09/22/2007 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) SIOUX CITY, IA
B
07/05/2002 - 09/06/2007 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) SIOUX CITY, IA
B
06/04/2001 - 07/02/2002 ROYAL ALLIANCE ASSOCIATES, INC. (CRD#:23131) SCOTTSDALE, AZ
B
05/12/2000 - 05/17/2001 MORGAN STANLEY DW INC. (CRD#:7556) PURCHASE, NY
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B
Broker
IA
Investment Adviser
Disclosures
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.