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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:

Current Employers
Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

AuthorityCategoryStatusDate
GA RA APPROVED 2025-09-05
  • GA RA
    APPROVED
    Since 2025-09-05

Branch Locations

Canton, GA • United States

Avantax Planning Partners, Inc.

210 Jones St Ste. 104, Dubuque, IA 52001 • United States

Current Registrations

AuthorityCategoryStatusDate
GA RA APPROVED 2024-11-08
  • GA RA
    APPROVED
    Since 2024-11-08

Branch Locations

127 Generals Place, Canton, GA 30114 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Sacklow & Acox Cpas, P.C. Bloomfield NJ 06/1979 Present
1St Global Capital Corp. Bloomfield NJ 02/1998 10/2019
Avantax Insurance Services, Inc. Bloomfield NJ 09/1998 09/2025
1St Global Advisors, Inc Bloomfield NJ 02/2006 10/2019
Avantax Investment Services, Inc. Bloomfield NJ 10/2019 09/2025
Avantax Advisory Services Bloomfield NJ 10/2019 09/2025
Avantax Planning Partners Bloomfield NJ 07/2022 Present
Cetera Wealth Services, Llc Canton GA 09/2025 Present
Cetera Investment Advisers Llc Schaumburg IL 09/2025 Present
  • 06/1979 → Present
    Sacklow & Acox Cpas, P.C.
    Bloomfield, NJ
  • 02/1998 → 10/2019
    1St Global Capital Corp.
    Bloomfield, NJ
  • 09/1998 → 09/2025
    Avantax Insurance Services, Inc.
    Bloomfield, NJ
  • 02/2006 → 10/2019
    1St Global Advisors, Inc
    Bloomfield, NJ
  • 10/2019 → 09/2025
    Avantax Investment Services, Inc.
    Bloomfield, NJ
  • 10/2019 → 09/2025
    Avantax Advisory Services
    Bloomfield, NJ
  • 07/2022 → Present
    Avantax Planning Partners
    Bloomfield, NJ
  • 09/2025 → Present
    Cetera Wealth Services, Llc
    Canton, GA
  • 09/2025 → Present
    Schaumburg, IL
Previous Registrations
  • 2019-10-25 → 2025-09-05
    Avantax Advisory Services
    Bloomfield, NJ
    Canton, GA
  • 2006-02-28 → 2019-10-25
    1St Global Advisors Inc
    Bloomfield, NJ
Other Businesses

1) HEADQUARTERS ADVISORY GROUP LLC POSITION: Referring Advisor NATURE: I make initial contact with individuals who may be interested in financial services. If so, I make an appointment for me, the client, and Michele Lee to meet. INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 01/01/1999 ADDRESS: 77 East Halsey Road #4, Parsippany NJ 07054, United States DESCRIPTION: I meet with Michele and the clients. I do not make investment decisions. I do not keep make client notes Most of the records I have in my office are the daily blotter and deposits for a few clients. 2) SACKLOW & ACOX CPAS LLC POSITION: partner NATURE: Accounting firm INVESTMENT RELATED: No NUMBER OF HOURS: 200 SECURITIES TRADING HOURS: 120 START DATE: 06/01/1979 ADDRESS: 295 Montgomery Street, Bloomfield NJ 07003, United States DESCRIPTION: Accounting and taxes

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 1999-10-06
  • S66 Uniform Combined State Law Examination
    1999-10-06
Designations
  • Certified Financial Planner

View on SEC IAPD

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