Soojan Lodwick Shao

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

• 08/2007 → Present
  Kent Place School
  Summit, NJ
• 11/2001 → Present
  H&R Block
  Morristown, NJ
• 03/2014 → 09/2025
  Avantax Investment Services, Inc.
  New Providence, NJ
• 03/2014 → 09/2025
  Avantax Advisory Services
  New Providence, NJ
• 01/2020 → 09/2025
  Avantax Insurance Services, Llc
  New Providence, NJ
• 02/2019 → Present
  Tax Preperation
  New Providence, NJ
• 09/2025 → Present
  Cetera Wealth Services, Llc
  New Providence, NJ
• 09/2025 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2014-04-01 → 2025-09-05
  Avantax Advisory Services
  New Providence, NJ
• 2009-10-05 → 2013-11-07
  Ameriprise Financial Services, Llc
  Short Hills, NJ
  Short Hills, NJ
  Minneapolis, MN
  Florham Park, NJ
• 2009-01-27 → 2009-10-05
  Ameriprise Advisor Services, Inc.
  Chatham, NJ
  Short Hills, NJ

Other Businesses

1.TAX PREPERATION POSITION: Tax Preparer NATURE: Prepare income taxes for clients INVESTMENT RELATED: No NUMBER OF HOURS: 50 SECURITIES TRADING HOURS: 30 START DATE: 02/20/2019 ADDRESS: 62 Ardsley Court, New Providence NJ 07974, United States DESCRIPTION: Owner, self operating tax preparing seasonal practice. Purchase office supplies, tax prep software, make an appointment with client and prepare income tax and receives payment for the service.

Exams

• S66 Uniform Combined State Law Examination
  2009-01-14