RB
Ronald L. Bazata
CETERA INVESTMENT ADVISERS LLC
KEARNEY, NE 68845
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CRD#: 1004839
RB
Professional summary
Ronald Lee Bazata, CFP®, who also goes by Ron Bazata, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Kearney, Nebraska and CETERA WEALTH SERVICES, LLC located in Kearney, Nebraska.
Ronald is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1981. Ronald has worked at 4 firms and has passed the Series 63, SIE, Series 7, Series 22, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ron Bazata
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.
(1) SELLS FIXED INSURANCE - LIFE, HEALTH, DISABILITY, ANNUITIES AND LONG TERM CARE. (2) NAME OF OTHER BUSINESS: BAZATA WEALTH MANAGEMENT GROUP LLC; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION: NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 01/2008; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 15-20; APX NUMBER OF HOURS DURING TRADING HOURS: 15-20; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; (3) NAME OF OTHER BUSINESS: JORGENSEN ANTIQUE CO; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: REAL ESTATE LLC; START DATE: 05/12/1992; POSITION/TITLE/RELATIONSHIP: PRESIDENT; APX NUMBER OF HOURS PER WEEK: 0; APX NUMBER OF HOURS DURING TRADING HOURS: N/A; BRIEF DESCRIPTION OF DUTIES: SIGN CORPORATE MINUTES AND STATE LICENSE FEE ANNUALLY. (4) NAME OF OTHER BUSINESS: TRIPLE RK RANCH LLC INVESTMENT RELATED: NO, ADDRESS: 223 WEST 16TH ST, KEARNEY, NE, 68845 NATURE OF BUSINESS: PASTURE AND RECREATION LAND START DATE: 01/2004 POSITION/TITLE/RELATIONSHIP: MANAGING PARTNET APX NUMBER OF HOURS PER WEEK: LESS THAN ONE, NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: REGISTERED AGENT FOR LLC (5) NAME OF OTHER BUSINESS: N/A ; INVESTMENT RELATED: NO ; ADDRESS: KEARNEY, NE 68847 ; NATURE OF BUSINESS: RENTAL PROPERTY ; START DATE: 01/1981 ; POSITION/TITLE/RELATIONSHIP: OWNER ; APX NUMBER OF HOURS PER WEEK: 1 ; APX NUMBER OF HOURS DURING TRADING HOURS: 1 ; BRIEF DESCRIPTION OF DUTIES: 4PLEX RENTAL MANAGED BY CENTURY 21 MIDLAND ; (6) NAME OF OTHER BUSINESS: N/A ; INVESTMENT RELATED: NO ; ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: NOTARY ; START DATE: 05/2021 ; POSITION/TITLE/RELATIONSHIP: NOTARY PUBLIC ; APX NUMBER OF HOURS PER WEEK: MINIMAL ; APX NUMBER OF HOURS DURING TRADING HOURS: MINIMAL ; BRIEF DESCRIPTION OF DUTIES: NOTARY PUBLIC FOR THE STATE OF NEBRASKA ;
CRS (Client Relationship Summary) - RIA
Click below to view Ronald Lee Bazata's 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®
CFP®
Start date: 1984
Experience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 223 West 16th Street, Kearney, NE 68845RIA
CRD#: 105644
KEARNEY, NE
Current
July 27, 1987 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 223 West 16th Street, Kearney, NE 68845BD
CRD#: 13572
Kearney, NE
Past
July 31, 1997 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
September 29, 1981 - August 8, 1987
E. F. HUTTON & COMPANY INC
BD
CRD#: 235
Past
September 3, 1981 - July 28, 1982
TRANSAMERICA FINANCIAL ADVISORS, INC.
BD
CRD#: 3600
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
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.RR
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
RR
Arizona(1/5/2022)
RR
Colorado(11/17/1999)
RR
Iowa(5/9/2024)
RR
Michigan(1/2/2024)
RR
Nebraska(7/27/1987)
IAR
Nebraska(6/29/2023)
RR
Oklahoma(6/29/2016)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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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)
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 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
