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Leann Rummel

Vice President at Cetera Investment Advisers

Investment adviser and broker registrationsSt Cloud, MNSEC record checked 17 October 2026

34
Years in the industry
12
Years at the firm
2
Adviser firms
2
State registrations

IAPD record retrieved 17 October 2026SEC record

Leann Rummel is Vice President of Cetera Investment Advisers LLC, a Schaumburg investment adviser managing $257B. Leann Rummel has been registered through Cetera Investment Advisers since 21 January 2014, has 34 years in the industry across 2 firms and has passed 6 licensing exams.

Role at Cetera Investment Advisers

Title on Schedule A
Vice President
Control
Leann Rummel is not a control person of Cetera Investment Advisers.
Ownership
An individual ownership band is not available in the source record.
Tenure
Leann Rummel has held the filed role since September 2017.

The firm

Cetera Investment Advisers LLC
Schaumburg, IL

Form ADV filed 13 August 2026

$257B AUM813,961 clients9,049 advisers28 offices

Career on record

Leann Rummel has been registered through Cetera Investment Advisers since January 2014, and before that through Cetera Investment Services LLC.

Firms and exams, newest first
  1. Passed Series 99TO · 2023
  2. Passed SIE · 2018
  3. Cetera Investment Advisers LLCCurrent
    – present · 13 years
    St Cloud, MN · Adviser representative · Firm CRD 105644
  4. Cetera Investment Services LLC
    – · 1 year
    Mechanicsburg, PA · Adviser representative · Firm CRD 15340
  5. Passed Series 24 · 1998
  6. Passed Series 7 · 1997
  7. Passed Series 63 and Series 6 · 1991

Registrations and exams

Leann Rummel has a current investment-adviser registration in Minnesota and Texas and has passed 6 qualifying exams.

Minnesota21 January 2014
Scope
Investment adviser representative
Status
Approved
Texas21 January 2014
Scope
Investment adviser representative
Status
Approved, resident

Examinations

Series 6326 November 1991
Name
Uniform Securities Agent State Law Examination
Series 2429 April 1998
Name
General Securities Principal Examination
Series 99TO2 January 2023
Name
Operations Professional Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 710 October 1997
Name
General Securities Representative Examination
Series 619 December 1991
Name
Investment Company Products/Variable Contracts Representative Examination

Individual record

Full name
Leann Renee Rummel
CRD
1965155
Firm
Cetera Investment Advisers LLC
Registration status
Investment adviser and broker registrations
Office
400 1ST ST S STE 300, St Cloud, MN 56301
Firm bio
cetera.com

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Background

Cetera identifies LeAnn Rummel as president and CEO of Cetera Investment Services and says she joined Cetera in 1992. The page describes her prior roles at PrimeVest and the ING Advisors Network. Official firm biography/team page

Education

Common questions

Where does Leann Rummel work?

Leann Rummel has been Vice President of Cetera Investment Advisers LLC since September 2017.

Source: Form ADV, Schedule A, filed 13 August 2026

Is Leann Rummel a financial advisor?

Yes. Leann Rummel has a current investment-adviser registration in Minnesota and Texas, through Cetera Investment Advisers since January 2014, as of 17 October 2026.

Source: IAPD individual record, checked 17 October 2026

How many years of experience does Leann Rummel have?

Leann Rummel has worked in the financial industry for 34 years as of 17 October 2026, counted from 23 December 1991, across 2 adviser firms.

Source: IAPD individual record, checked 17 October 2026

What exams has Leann Rummel passed?

Leann Rummel has passed 6 licensing exams: the Series 63, Series 6, Series 7, Series 24, SIE and Series 99TO. The earliest, the Series 63, was passed in November 1991.

Source: IAPD individual record, checked 17 October 2026

Where did Leann Rummel work before Cetera Investment Advisers?

Before Cetera Investment Advisers, Leann Rummel was registered through Cetera Investment Services LLC, March 2013 to January 2014.

Source: IAPD individual record, checked 17 October 2026

Where is Leann Rummel based?

Leann Rummel’s registered office is in St Cloud, MN.

Source: IAPD individual record, checked 17 October 2026

Leadership at Cetera Investment Advisers

Sources

  1. IAPD individual record, CRD 1965155. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Cetera Investment Advisers LLC, filed 13 August 2026. Title, control and ownership bands.
  3. Cetera Investment Advisers team page. Biography, education, credentials, awards.

Retrieved 17 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Leann Rummel or Cetera Investment Advisers LLC and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.