0001085146-16-003230.txt : 20160216 0001085146-16-003230.hdr.sgml : 20160215 20160216120810 ACCESSION NUMBER: 0001085146-16-003230 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20151231 FILED AS OF DATE: 20160216 DATE AS OF CHANGE: 20160216 EFFECTIVENESS DATE: 20160216 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Cetera Investment Advisers CENTRAL INDEX KEY: 0001666741 IRS NUMBER: 363258176 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-17296 FILM NUMBER: 161425215 BUSINESS ADDRESS: STREET 1: 200 N MARTINGALE RD CITY: SCHAUMBURG STATE: IL ZIP: 60173 BUSINESS PHONE: 844 337 2217 MAIL ADDRESS: STREET 1: 200 N MARTINGALE RD CITY: SCHAUMBURG STATE: IL ZIP: 60173 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001666741 XXXXXXXX 12-31-2015 12-31-2015 Cetera Investment Advisers

200 N MARTINGALE RD SCHAUMBURG IL 60173

13F HOLDINGS REPORT 028-17296 N Kristy Haley 310 257-7532 /s/ Kristy Haley El Segundo CO 02-16-2016 0 258 217744 false INFORMATION TABLE 2 form13fInfoTable.xml DESCRIPTION FOR INFORMATION TABLE 3M COCOM88579Y1013472290SHSOLE 002290ABBOTT LABSCOM00282410050711289SHSOLE 0011289ABBVIE INCCOM00287Y109133922604SHSOLE 0022604ACADEMY FDS TRINNOV IBD50 FD00400650847321220SHSOLE 0021220ACCENTURE PLC IRELANDSHS CLASS AG1151C1014003838SHSOLE 003838AEGON N VNY REGISTRY SH00792410313022794SHSOLE 0022794AIR PRODS & CHEMS INCCOM0091581062601981SHSOLE 001981ALIBABA GROUP HLDG LTDSPONSORED ADS01609W1023334104SHSOLE 004104ALLETE INCCOM NEW0185223002034000SHSOLE 004000ALLIANZGI CONV & INCOME FDCOM01882810310518902SHSOLE 0018902ALLSTATE CORPCOM0200021015588995SHSOLE 008995ALPHABET INCCAP STK CL A02079K305567727SHSOLE 00727ALPHABET INCCAP STK CL C02079K107667874SHSOLE 00874ALPS ETF TRALERIAN MLP00162Q86639833373SHSOLE 0033373ALTRIA GROUP INCCOM02209S103197233897SHSOLE 0033897AMAZON COM INCCOM023135106282417SHSOLE 00417AMERICAN ELEC PWR INCCOM02553710164111010SHSOLE 0011010AMERISOURCEBERGEN CORPCOM03073E1052041968SHSOLE 001968AMGEN INCCOM0311621007244478SHSOLE 004478AMPHENOL CORP NEWCL A0320951012875518SHSOLE 005518APPLE INCCOM037833100472444797SHSOLE 0044797AT&T INCCOM00206R1024045117616SHSOLE 00117616ATLAS RESOURCE PARTNERS LPCOM UNT LTD PR04941A1011312472SHSOLE 0012472ATMOS ENERGY CORPCOM0495601053816032SHSOLE 006032AUTOMATIC DATA PROCESSING INCOM0530151032202593SHSOLE 002593AUTOZONE INCCOM053332102519700SHSOLE 00700BANK AMER CORPCOM06050510425315003SHSOLE 0015003BARCLAYS BK PLCDJUBS CMDT ETN3606738C77824311358SHSOLE 0011358BARCLAYS BK PLCIPSP CROIL ETN06738C78619331000SHSOLE 0031000BAXALTA INCCOM07177M1032646717SHSOLE 006717BAXTER INTL INCCOM0718131092596822SHSOLE 006822BCE INCCOM NEW05534B7602346042SHSOLE 006042BERKSHIRE HATHAWAY INC DELCL A0846701089895SHSOLE 005BERKSHIRE HATHAWAY INC DELCL B NEW0846707025193925SHSOLE 003925BIOGEN INCCOM09062X103273885SHSOLE 00885BLACKSTONE GROUP L PCOM UNIT LTD09253U10882228058SHSOLE 0028058BOEING COCOM097023105221615359SHSOLE 0015359BP PLCSPONSORED ADR0556221042808868SHSOLE 008868BRISTOL MYERS SQUIBB COCOM110122108129918865SHSOLE 0018865BUCKLE INCCOM1184401062056631SHSOLE 006631CATERPILLAR INC DELCOM1491231012343439SHSOLE 003439CELANESE CORP DELCOM SER A1508701032643931SHSOLE 003931CELGENE CORPCOM1510201049788177SHSOLE 008177CENTURYLINK INCCOM15670010632312852SHSOLE 0012852CHEVRON CORP NEWCOM166764100187620912SHSOLE 0020912CIGNA CORPORATIONCOM1255091093122128SHSOLE 002128CISCO SYS INCCOM17275R102126146313SHSOLE 0046313CLOROX CO DELCOM1890541094363439SHSOLE 003439COCA COLA COCOM191216100115226812SHSOLE 0026812COCA COLA ENTERPRISES INC NECOM19122T10986917630SHSOLE 0017630COLGATE PALMOLIVE COCOM1941621033935907SHSOLE 005907COMCAST CORP NEWCL A20030N10161810970SHSOLE 0010970CONAGRA FOODS INCCOM2058871022756568SHSOLE 006568CONOCOPHILLIPSCOM20825C104138329504SHSOLE 0029504CUMMINS INCCOM2310211065786570SHSOLE 006570CVS HEALTH CORPCOM1266501006887015SHSOLE 007015DAVITA HEALTHCARE PARTNERS ICOM23918K1082263251SHSOLE 003251DEERE & COCOM2441991053274281SHSOLE 004281DELTA AIR LINES INC DELCOM NEW2473617023286433SHSOLE 006433DISCOVER FINL SVCSCOM25470910858110831SHSOLE 0010831DISNEY WALT COCOM DISNEY254687106226821482SHSOLE 0021482DNP SELECT INCOME FDCOM23325P10410611853SHSOLE 0011853DU PONT E I DE NEMOURS & COCOM2635341094546803SHSOLE 006803DUKE ENERGY CORP NEWCOM NEW26441C2046148595SHSOLE 008595E M C CORP MASSCOM26864810235413806SHSOLE 0013806EAST WEST BANCORP INCCOM27579R1042395786SHSOLE 005786EXELON CORPCOM30161N1012589216SHSOLE 009216EXXON MOBIL CORPCOM30231G102200025599SHSOLE 0025599FACEBOOK INCCL A30303M102171716481SHSOLE 0016481FIRST TR EXCHANG TRADED FD IMANAGD MUN ETF33739N10860911717SHSOLE 0011717FIRST TR EXCHANGE TRADED FDDJ GLBL DIVID33734X20037217120SHSOLE 0017120FIRST TR EXCHANGE TRADED FDDORSEY WRT 5 ETF33738R60566428371SHSOLE 0028371FIRST TR EXCHANGE TRADED FDENERGY ALPHADX33734X12718713456SHSOLE 0013456FIRST TR EXCHANGE TRADED FDFINLS ALPHADEX33734X13536815778SHSOLE 0015778FIRST TR EXCHANGE TRADED FDHLTH CARE ALPH33734X143109718099SHSOLE 0018099FIRST TR EXCHANGE TRADED FDMULTI ASSET DI33738R10057631531SHSOLE 0031531FIRST TR EXCHANGE TRADED FDNASD TECH DIV33738R1182258880SHSOLE 008880FIRST TR EXCHANGE TRADED FDTECH ALPHADEX33734X17640412154SHSOLE 0012154FIRST TR LRG CP GRWTH ALPHADCOM SHS33735K10882017028SHSOLE 0017028FIRST TR LRG CP VL ALPHADEXCOM SHS33735J10177920180SHSOLE 0020180FIRST TR LRGE CP CORE ALPHACOM SHS33734K109304170345SHSOLE 0070345FIRST TR MID CAP CORE ALPHADCOM SHS33735B10872515092SHSOLE 0015092FIRST TR MORNINGSTAR DIV LEASHS33691710962926533SHSOLE 0026533FIRST TR SML CP CORE ALPHA FCOM SHS33734Y10977817642SHSOLE 0017642FIRST TR STOXX EURO DIV FDCOMMON SHS33735T10916813953SHSOLE 0013953FIRST TR US IPO INDEX FDSHS3369201032184252SHSOLE 004252FIRST TR VALUE LINE DIVID INSHS33734H10634414359SHSOLE 0014359FORD MTR CO DELCOM PAR $0.013453708601632115967SHSOLE 00115967GABELLI EQUITY TR INCCOM3623971019016869SHSOLE 0016869GENERAL ELECTRIC COCOM3696041033879124440SHSOLE 00124440GENERAL MLS INCCOM3703341044447680SHSOLE 007680GENERAL MTRS COCOM37045V100122435955SHSOLE 0035955GILEAD SCIENCES INCCOM375558103116611531SHSOLE 0011531GLAXOSMITHKLINE PLCSPONSORED ADR37733W10540710108SHSOLE 0010108GOLDMAN SACHS GROUP INCCOM38141G1049004989SHSOLE 004989GRAMERCY PPTY TRCOM38500210010213248SHSOLE 0013248HANCOCK JOHN PREMUIM DIV FDCOM SH BEN INT41013T10514810762SHSOLE 0010762HCP INCCOM40414L1092506415SHSOLE 006415HERSHEY COCOM4278661082803134SHSOLE 003134HOME DEPOT INCCOM4370761025494152SHSOLE 004152HONEYWELL INTL INCCOM4385161062522444SHSOLE 002444HUNT J B TRANS SVCS INCCOM4456581072283095SHSOLE 003095INTEL CORPCOM458140100210461075SHSOLE 0061075INTERNATIONAL BUSINESS MACHSCOM4592001017795645SHSOLE 005645ISHARES INCCORE MSCI EMKT46434G10350312824SHSOLE 0012824ISHARES SILVER TRUSTISHARES46428Q10923317642SHSOLE 0017642ISHARES TR1-3 YR CR BD ETF4642886466596306SHSOLE 006306ISHARES TR20+ YR TR BD ETF4642874322602163SHSOLE 002163ISHARES TR3-7 YR TR BD ETF4642886614023290SHSOLE 003290ISHARES TRCORE HIGH DV ETF46429B6636889355SHSOLE 009355ISHARES TRCORE MSCI EAFE46432F842161029527SHSOLE 0029527ISHARES TRCORE S&P MCP ETF4642875076394592SHSOLE 004592ISHARES TRCORE S&P SCP ETF4642878042882602SHSOLE 002602ISHARES TRCORE S&P500 ETF4642872007983912SHSOLE 003912ISHARES TRCORE US AGGBD ET464287226341231584SHSOLE 0031584ISHARES TREAFE SML CP ETF464288273195839298SHSOLE 0039298ISHARES TRFLTG RATE BD ETF46429B65567513380SHSOLE 0013380ISHARES TRIBOXX HI YD ETF4642885137479257SHSOLE 009257ISHARES TRIBOXX INV CP ETF4642872428307296SHSOLE 007296ISHARES TRINTERM CR BD ETF4642886382001861SHSOLE 001861ISHARES TRJP MOR EM MK ETF4642882812902721SHSOLE 002721ISHARES TRMRNING SM CP ETF4642887032382069SHSOLE 002069ISHARES TRMSCI EAFE ETF464287465160327209SHSOLE 0027209ISHARES TRMSCI EMG MKT ETF4642872342517783SHSOLE 007783ISHARES TRNA NAT RES4642873743064108753SHSOLE 00108753ISHARES TRRUS 1000 GRW ETF464287614504250727SHSOLE 0050727ISHARES TRRUS 1000 VAL ETF464287598329133532SHSOLE 0033532ISHARES TRRUS 2000 GRW ETF4642876483502515SHSOLE 002515ISHARES TRRUS 2000 VAL ETF4642876302732960SHSOLE 002960ISHARES TRRUS MD CP GR ETF464287481173318805SHSOLE 0018805ISHARES TRRUS MID-CAP ETF4642874998855549SHSOLE 005549ISHARES TRRUSSELL 2000 ETF464287655140912582SHSOLE 0012582ISHARES TRS&P 100 ETF4642871014214617SHSOLE 004617ISHARES TRS&P 500 GRWT ETF4642873093112671SHSOLE 002671ISHARES TRSELECT DIVID ETF4642871687049294SHSOLE 009294ISHARES TRU.S. PFD STK ETF464288687164742400SHSOLE 0042400ISHARES TRUSA MIN VOL ETF46429B6972505992SHSOLE 005992ISHARES U S ETF TRSHT MAT MUN ETF46431W8382775539SHSOLE 005539ITC HLDGS CORPCOM46568510591323313SHSOLE 0023313JOHNSON & JOHNSONCOM478160104289128149SHSOLE 0028149JOHNSON CTLS INCCOM4783661072045154SHSOLE 005154JPMORGAN CHASE & COCOM46625H100123618721SHSOLE 0018721KIMBERLY CLARK CORPCOM49436810311649107SHSOLE 009107KRAFT HEINZ COCOM50075410696613214SHSOLE 0013214LAZARD LTDSHS AG5405010268015031SHSOLE 0015031LILLY ELI & COCOM5324571088149679SHSOLE 009679MARKET VECTORS ETF TRGOLD MINER ETF57060U10053138900SHSOLE 0038900MCDONALDS CORPCOM58013510111739940SHSOLE 009940MCKESSON CORPCOM58155Q1033911980SHSOLE 001980MERCK & CO INC NEWCOM58933Y10586316298SHSOLE 0016298METLIFE INCCOM59156R10857812024SHSOLE 0012024MICROSOFT CORPCOM594918104168230308SHSOLE 0030308MONDELEZ INTL INCCL A60920710572416111SHSOLE 0016111MONOGRAM RESIDENTIAL TR INCCOM60979P10516517012SHSOLE 0017012NATIONAL PENN BANCSHARES INCCOM63713810876361839SHSOLE 0061839NETFLIX INCCOM64110L1064023555SHSOLE 003555NEW YORK CMNTY BANCORP INCCOM64944510321112872SHSOLE 0012872NEXTERA ENERGY INCCOM65339F1012712614SHSOLE 002614NIKE INCCL B654106103156324960SHSOLE 0024960NORTHROP GRUMMAN CORPCOM6668071022191158SHSOLE 001158NORTHWESTERN CORPCOM NEW6680743053496423SHSOLE 006423NUVEEN CR STRATEGIES INCM FDCOM SHS67073D1028110353SHSOLE 0010353NUVEEN MUN VALUE FD INCCOM67092810015515258SHSOLE 0015258ORACLE CORPCOM68389X10564017474SHSOLE 0017474PARK CITY GROUP INCCOM NEW70021530475263111SHSOLE 0063111PEPSICO INCCOM7134481088598576SHSOLE 008576PFIZER INCCOM717081103134641796SHSOLE 0041796PHILIP MORRIS INTL INCCOM718172109154417564SHSOLE 0017564PHILLIPS 66COM7185461044465452SHSOLE 005452PIMCO CORPORATE & INCOME OPPCOM72201B101102276576SHSOLE 0076576PIMCO CORPORATE INCOME STRATCOM72200U10016312157SHSOLE 0012157PIMCO NEW YORK MUN FD IICOM72200Y10227121884SHSOLE 0021884PIMCO NY MUNICIPAL INCOME FDCOM72200T10313711517SHSOLE 0011517PIMCO STRATEGIC INCOME FD INCOM72200X10442247263SHSOLE 0047263PIONEER HIGH INCOME TRCOM72369H10680584296SHSOLE 0084296POWERSHARES ETF TR IIS&P500 LOW VOL73937B7793368697SHSOLE 008697POWERSHARES ETF TRUSTCON STAPLE SEC73935X3932043586SHSOLE 003586POWERSHARES ETF TRUSTFTSE RAFI 100073935X583277031868SHSOLE 0031868POWERSHARES ETF TRUST IISENIOR LN PORT73936Q7692018943SHSOLE 008943POWERSHARES QQQ TRUSTUNIT SER 173935A104375133557SHSOLE 0033557PPL CORPCOM69351T106253174107SHSOLE 0074107PRICE T ROWE GROUP INCCOM74144T108100214014SHSOLE 0014014PRINCIPAL FINL GROUP INCCOM74251V10262313857SHSOLE 0013857PROCTER & GAMBLE COCOM742718109148218670SHSOLE 0018670PRUDENTIAL FINL INCCOM7443201027879632SHSOLE 009632QUALCOMM INCCOM7475251033517082SHSOLE 007082RAYMOND JAMES FINANCIAL INCCOM7547301092644537SHSOLE 004537ROYAL DUTCH SHELL PLCSPONS ADR A7802592063387388SHSOLE 007388RYDEX ETF TRUSTGUG S&P500 EQ WT78355W10683610901SHSOLE 0010901RYDEX ETF TRUSTGUG S&P500 PU GR78355W4033844769SHSOLE 004769SCHLUMBERGER LTDCOM8068571082784002SHSOLE 004002SEADRILL LIMITEDSHSG7945E1054613789SHSOLE 0013789SELECT SECTOR SPDR TRSBI CONS DISCR81369Y4073734727SHSOLE 004727SELECT SECTOR SPDR TRSBI CONS STPLS81369Y3083506874SHSOLE 006874SELECT SECTOR SPDR TRSBI HEALTHCARE81369Y2096499011SHSOLE 009011SELECT SECTOR SPDR TRSBI INT-ENERGY81369Y5062423993SHSOLE 003993SELECT SECTOR SPDR TRSBI INT-FINL81369Y6052199180SHSOLE 009180SELECT SECTOR SPDR TRSBI INT-UTILS81369Y88647711004SHSOLE 0011004SELECT SECTOR SPDR TRTECHNOLOGY81369Y8032124968SHSOLE 004968SMUCKER J M COCOM NEW8326964055804734SHSOLE 004734SOUTHERN COCOM8425871074589754SHSOLE 009754SPDR GOLD TRUSTGOLD SHS78463V1074244183SHSOLE 004183SPDR S&P 500 ETF TRTR UNIT78462F103783138407SHSOLE 0038407SPDR S&P MIDCAP 400 ETF TRUTSER1 S&PDCRP78467Y107243953SHSOLE 00953SPDR SERIES TRUSTBRC HGH YLD BD78464A41784324857SHSOLE 0024857SPDR SERIES TRUSTBRCLYS INTL ETF78464A5162775435SHSOLE 005435SPDR SERIES TRUSTDJ REIT ETF78464A6073834171SHSOLE 004171SPDR SERIES TRUSTS&P DIVID ETF78464A7636969430SHSOLE 009430STARBUCKS CORPCOM8552441094046707SHSOLE 006707SUNEDISON INCCOM86732Y10915529950SHSOLE 0029950TJX COS INC NEWCOM8725401092072916SHSOLE 002916TRACTOR SUPPLY COCOM8923561063143674SHSOLE 003674UNDER ARMOUR INCCL A9043111075296585SHSOLE 006585UNILEVER PLCSPON ADR NEW9047677043047021SHSOLE 007021UNION PAC CORPCOM9078181083554514SHSOLE 004514UNITED PARCEL SERVICE INCCL B911312106290330166SHSOLE 0030166UNITED TECHNOLOGIES CORPCOM9130171093463581SHSOLE 003581VALERO ENERGY CORP NEWCOM91913Y1004636574SHSOLE 006574VANGUARD BD INDEX FD INCINTERMED TERM9219378193324007SHSOLE 004007VANGUARD BD INDEX FD INCSHORT TRM BOND921937827166420879SHSOLE 0020879VANGUARD BD INDEX FD INCTOTAL BND MRKT921937835109013494SHSOLE 0013494VANGUARD CHARLOTTE FDSINTL BD IDX ETF92203J4072554798SHSOLE 004798VANGUARD INDEX FDSGROWTH ETF922908736608857188SHSOLE 0057188VANGUARD INDEX FDSMCAP GR IDXVIP922908538170617347SHSOLE 0017347VANGUARD INDEX FDSMCAP VL IDXVIP922908512129214996SHSOLE 0014996VANGUARD INDEX FDSMID CAP ETF922908629284123677SHSOLE 0023677VANGUARD INDEX FDSREIT ETF922908553259232452SHSOLE 0032452VANGUARD INDEX FDSS&P 500 ETF SHS92290836310565646SHSOLE 005646VANGUARD INDEX FDSSM CP VAL ETF9229086114434516SHSOLE 004516VANGUARD INDEX FDSSMALL CP ETF922908751266624088SHSOLE 0024088VANGUARD INDEX FDSSML CP GRW ETF9229085958386927SHSOLE 006927VANGUARD INDEX FDSTOTAL STK MKT922908769138213221SHSOLE 0013221VANGUARD INDEX FDSVALUE ETF922908744382646921SHSOLE 0046921VANGUARD INTL EQUITY INDEX FALLWRLD EX US922042775114526453SHSOLE 0026453VANGUARD INTL EQUITY INDEX FFTSE EMR MKT ETF92204285858117756SHSOLE 0017756VANGUARD INTL EQUITY INDEX FFTSE EUROPE ETF9220428743336644SHSOLE 006644VANGUARD INTL EQUITY INDEX FTT WRLD ST ETF92204274273012677SHSOLE 0012677VANGUARD MALVERN FDSSTRM INFPROIDX9220208053016267SHSOLE 006267VANGUARD SCOTTSDALE FDSINT-TERM CORP92206C870153618263SHSOLE 0018263VANGUARD SCOTTSDALE FDSSHRT TRM CORP BD92206C4095356772SHSOLE 006772VANGUARD SPECIALIZED PORTFOLDIV APP ETF9219088447529647SHSOLE 009647VANGUARD TAX MANAGED INTL FDFTSE DEV MKT ETF9219438582817644SHSOLE 007644VANGUARD WHITEHALL FDS INCHIGH DIV YLD9219464064466646SHSOLE 006646VANGUARD WORLD FDSCONSUM DIS ETF92204A1085124185SHSOLE 004185VANGUARD WORLD FDSCONSUM STP ETF92204A2075063926SHSOLE 003926VANGUARD WORLD FDSENERGY ETF92204A3068059723SHSOLE 009723VANGUARD WORLD FDSHEALTH CAR ETF92204A5044323243SHSOLE 003243VERIZON COMMUNICATIONS INCCOM92343V104139830211SHSOLE 0030211VISA INCCOM CL A92826C8393033920SHSOLE 003920WALGREENS BOOTS ALLIANCE INCCOM9314271084595350SHSOLE 005350WAL-MART STORES INCCOM9311421033054940SHSOLE 004940WASTE MGMT INC DELCOM94106L1092093938SHSOLE 003938WELLS FARGO & CO NEWCOM9497461013837042SHSOLE 007042WESTERN ASSET HIGH INCM FD ICOM95766J10217327638SHSOLE 0027638WESTERN ASSET PREMIER BD FDSHS BEN INT95766410589573616SHSOLE 0073616WISDOMTREE TREUROPE HEDGED EQ97717X70167412460SHSOLE 0012460WISDOMTREE TRMIDCAP DIVI FD97717W5053043756SHSOLE 003756YAMANA GOLD INCCOM98462Y1001910066SHSOLE 0010066