Caroline Piehl

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

• 11/2019 → Present
  Vf Corp, The North Face
  Greenwood Village, CO
• 06/2015 → 10/2019
  Nike, Inc
  Beaverton, OR
• 08/2020 → 09/2025
  Avantax Investment Services, Inc
  Aurora, CO
• 08/2020 → 09/2025
  Avantax Advisory Services
  Aurora, CO
• 08/2020 → 10/2022
  Alan R. Piehl, Cpa, Pc
  Aurora, CO
• 10/2022 → Present
  Timewise Financial Llc
  Aurora, CO
• 11/2024 → 09/2025
  Avantax Insurance Agency And/Or Avantax Insurance Services.
  Woodstock, GA
• 09/2025 → Present
  Cetera Wealth Services, Llc
  Aurora, CO
• 09/2025 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2021-06-14 → 2025-09-05
  Avantax Advisory Services
  Aurora, CO
  Dallas, TX
  Englewood, CO

Other Businesses

1) TIMEWISE FINANCIAL LLC; POSITION: Financial Advisor NATURE: My previous employer, Alan R Piehl CPA PC, merged into TimeWise Financial LLC. I am now employed by TimeWise Financial as of October 1, 2022.TimeWise Financial LLC is a firm under Avantax. INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 130 START DATE: 10/01/2022; 1010 South Joliet, Ste 109, Aurora CO 80012; Financial Advisor Partner 2) SUSAN R SANDSTROM, CPA POSITION: None NATURE: Susan R Sandstrom CPA rents office space within our office suite. No services are derived from or provided to the business. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 10/01/2022 ADDRESS: 1010 S Joliet St, Suite 109, Aurora CO 80012, United States DESCRIPTION: No duties performed for Susan R. Sandstrom CPA. 3) WIN YOUR WEALTH POSITION: Workshop Leader NATURE: Create and deliver a financial literacy course to college athletes and professional athletes.I understand that investment recommendations can't be made, only education information will be provided. All information will be solely education and no specific advice is delivered. INVESTMENT RELATED: No NUMBER OF HOURS: 30 SECURITIES TRADING HOURS: 0 START DATE: 11/16/2023 ADDRESS: 1010 S Joliet St, Suite 109, Aurora CO 80012, United States DESCRIPTION: I will create the educational course content and deliver the content in a series of videos and in person meetings.

Exams

• S66 Uniform Combined State Law Examination
  2021-06-12

Designations

• Certified Financial Planner