Charles Thomas Winn

Employer firm

Cetera Investment Advisers LLC CRD 105644

$257B regulatory AUM 24,019 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 05/2013 → 03/2017
  Msi Financial
  Milwaukee, WI
• 03/2017 → 02/2018
  Mml Investors Services, Llc
  Milwaukee, WI
• 02/2018 → 09/2025
  Avantax Investment Services, Inc.
  Soth Milwaukee, WI
• 02/2018 → 09/2025
  Avantax Advisory Services
  South Milwaukee, WI
• 02/2018 → 09/2025
  Avantax Insurance Agency, Llc
  South Milwaukee, WI
• 01/2020 → Present
  Legup Investments
  South Milwaukee, WI
• 01/2023 → Present
  Db Wehring Wealth Llc
  South Milwaukee, WI
• 09/2025 → Present
  Cetera Wealth Services, Llc
  South Milwaukee, WI
• 09/2025 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2018-02-16 → 2025-09-05
  Avantax Advisory Services
  South Milwaukee, WI
• 2017-03-25 → 2018-02-26
  Mml Investors Services, Llc
  Wauwatosa, WI
• 2013-05-29 → 2017-03-25
  Msi Financial Services, Inc.
  Milwaukee, WI
  Milwaukee, WI
  Milwaukee, WI
• 2009-09-16 → 2013-05-29
  Next Financial Group, Inc.
  Houston, TX
  Menomonee Falls, WI

Other Businesses

1) LegUp Investments 1125 Milwaukee Ave~South Milwaukee~WI~53172~Other~Other~1/31/2020~4hrs~4hrs~project management| 2) DBHW WEALTH PARTNERS; POSITION: Partner NATURE: This is a branding name that represents some businesses within our organization currently disclosed on my U4. The businesses that fall under this brand are currently Hall Wehring CPAs and Wehring & DB Tax and Wealth. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 08/24/2022; ADDRESS: 1125 Milwaukee Avenue, South Milwaukee WI 53172, This is strictly a DBA we use for branding and marketing. There are no daily duties and responsibilities associated with this DBA. 3) DB WEHRING WEALTH LLC POSITION: Managing Member NATURE: Financial Planning and Investment Services INVESTMENT RELATED: No NUMBER OF HOURS: 130 SECURITIES TRADING HOURS: 110 START DATE: 01/01/2023 ADDRESS: 1125 Milwaukee Avenue, South Milwaukee WI 53172, United States DESCRIPTION: Practice Management, Financial Planning, investment advisory services, and insurance planning 4) SMRE LLC POSITION: Member NATURE: Rental property - real estate LLC created to limit liability to entity's scope. INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 06/05/2022 ADDRESS: W140 N7740 Lilly Rd, Menomonee Falls WI 53051, United States DESCRIPTION: handling rents, paying expenses, coordinating building maintenance services 5)LegUp Investments (1); Partner; Real Estate Holding Company; IR; 4; 01/31/2020; 1125 Milwaukee Ave South Milwaukee WI 53172; project management

Exams

• S66 Uniform Combined State Law Examination
  2009-09-04
• S63 Uniform Securities Agent State Law Examination
  2004-05-13

Designations

• Certified Financial Planner

Other Names

• Chuck Thomas Winn