Carmen D. Bohlke

CETERA INVESTMENT ADVISERS LLC

ST CLOUD, MN 56301

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CRD#: 1824775

Professional summary

Carmen Diane Bohlke, AIF®, who also goes by Carmen Diane Demoss, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in St Cloud, Minnesota and CETERA ADVISORS LLC located in St Cloud, Minnesota.

Carmen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Carmen has worked at 13 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Carmen Diane Demoss

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carmen Diane Bohlke's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

AIF^®

Accredited Investment Fiduciary

Experience

Current

March 21, 2024 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 400 1st Street S Ste 300 A, St Cloud, MN 56301

RIA

CRD#: 105644

ST CLOUD, MN

Current

January 21, 2016 - Present

CETERA ADVISORS LLC

Office #1: 400 1st Street S Ste 300 A, St Cloud, MN 56301

CRD#: 10299

St Cloud, MN

Past

September 29, 2021 - March 21, 2024

CETERA ADVISORS LLC

RIA

CRD#: 10299

ST CLOUD, MN

Past

May 26, 2016 - December 3, 2019

SUMMIT BROKERAGE SERVICES, INC.

CRD#: 34643

ST CLOUD, MN

Past

January 21, 2016 - September 29, 2021

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

ST CLOUD, MN

Past

January 21, 2016 - September 29, 2021

CETERA FINANCIAL SPECIALISTS LLC

CRD#: 10358

ST CLOUD, MN

Past

January 28, 2014 - September 29, 2021

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

ST CLOUD, MN

Past

January 17, 2014 - January 31, 2014

CETERA INVESTMENT SERVICES LLC

RIA

CRD#: 15340

ST CLOUD, MN

Past

July 30, 2013 - September 29, 2021

CETERA WEALTH SERVICES, LLC

CRD#: 13572

ST CLOUD, MN

Past

December 11, 2012 - December 31, 2013

CETERA INVESTMENT SERVICES LLC

RIA

CRD#: 15340

ST CLOUD, MN

Past

December 11, 2012 - September 29, 2021

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

ST CLOUD, MN

Past

March 18, 2011 - November 20, 2012

GENEOS WEALTH MANAGEMENT, INC.

RIA

CRD#: 120894

LAKEVILLE, MN

Past

March 18, 2011 - November 20, 2012

GENEOS WEALTH MANAGEMENT, INC.

CRD#: 120894

LAKEVILLE, MN

Past

February 9, 2011 - March 1, 2011

NATIONS FINANCIAL GROUP, INC.

RIA

CRD#: 44181

NEW PRAGUE, MN

Past

December 13, 2010 - March 1, 2011

NATIONS FINANCIAL GROUP, INC.

CRD#: 44181

NEW PRAGUE, MN

Past

December 8, 1993 - July 21, 1995

WS GRIFFITH SECURITIES, INC.

CRD#: 10410

HARTFORD, CT

Past

June 15, 1990 - October 18, 1993

COMMERCE BROKERAGE SERVICES, INC.

CRD#: 17140

CLAYTON, MO

Past

April 29, 1988 - July 19, 1988

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

April 29, 1988 - July 19, 1988

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(9/29/2021)

Alaska
(9/29/2021)

Arizona
(9/29/2021)

Arkansas
(9/29/2021)

California
(9/29/2021)

Colorado
(9/29/2021)

Connecticut
(9/29/2021)

Delaware
(9/29/2021)

District of Columbia
(9/29/2021)

Florida
(9/29/2021)

Georgia
(9/29/2021)

Hawaii
(9/29/2021)

Idaho
(9/29/2021)

Illinois
(9/29/2021)

Indiana
(9/29/2021)

Iowa
(9/29/2021)

Kansas
(9/29/2021)

Kentucky
(9/29/2021)

Louisiana
(9/29/2021)

Maine
(9/29/2021)

Maryland
(9/29/2021)

Massachusetts
(9/29/2021)

Michigan
(9/29/2021)

Minnesota
(9/29/2021)

IAR

Minnesota
(3/21/2024)

Mississippi
(9/29/2021)

Missouri
(9/29/2021)

Montana
(9/29/2021)

Nebraska
(9/29/2021)

Nevada
(9/29/2021)

New Hampshire
(9/29/2021)

New Jersey
(9/29/2021)

New Mexico
(9/29/2021)

New York
(9/29/2021)

North Carolina
(9/29/2021)

North Dakota
(9/29/2021)

Ohio
(9/30/2021)

Oklahoma
(9/29/2021)

Oregon
(9/29/2021)

Pennsylvania
(9/29/2021)

Rhode Island
(9/29/2021)

South Carolina
(9/29/2021)

South Dakota
(9/29/2021)

Tennessee
(9/29/2021)

Texas
(9/29/2021)

IAR

Texas
(3/21/2024)

Utah
(9/29/2021)

Vermont
(9/29/2021)

Virginia
(9/29/2021)

Washington
(9/29/2021)

West Virginia
(9/29/2021)

Wisconsin
(9/29/2021)

Wyoming
(9/29/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 2/8/2011

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 6/9/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/10/2010

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/28/1988

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Carmen D. Bohlke

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carmen Diane Bohlke's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA ADVISORS LLC

CETERA ADVISORS LLC

SUMMIT BROKERAGE SERVICES, INC.

FIRST ALLIED SECURITIES, INC.

CETERA FINANCIAL SPECIALISTS LLC

CETERA INVESTMENT ADVISERS LLC

CETERA INVESTMENT SERVICES LLC

CETERA WEALTH SERVICES, LLC

CETERA INVESTMENT SERVICES LLC

CETERA INVESTMENT SERVICES LLC

GENEOS WEALTH MANAGEMENT, INC.

GENEOS WEALTH MANAGEMENT, INC.

NATIONS FINANCIAL GROUP, INC.

NATIONS FINANCIAL GROUP, INC.

WS GRIFFITH SECURITIES, INC.

COMMERCE BROKERAGE SERVICES, INC.

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 2/8/2011

Series 63

Date: 6/9/1988

SIE

Date: 10/1/2018

Series 7

Date: 12/10/2010

Series 6

Date: 4/28/1988

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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