AN
Alan R. Nadolna
CETERA INVESTMENT ADVISERS LLC
Kenilworth, IL 60043
Some features on this profile are disabled
CRD#: 1021266
AN
Professional summary
Alan Richard Nadolna is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Kenilworth, Illinois and CETERA ADVISORS LLC located in Kenilworth, Illinois.
Alan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Alan has worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 22 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 6/1973 APX NUMBER OF HOURS PER WEEK: 3 APX NUMBER OF HOURS DURING TRADING HOURS: 1 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SALES OF INSURANCE PRODUCTS; 2. NAME OF OTHER BUSINESS: KEYSTONE ALLIANCE INVESTMENT RELATED: NO ADDRESS: 1925 N. CLYBOURN AVE, CHICAGO, IL 60614 NATURE OF BUSINESS: BOARD FIDUCIARY POSITIONS START DATE: 4/2009 POSITION/TITLE/RELATIONSHIP: BOARD PRESIDENT APX NUMBER OF HOURS PER WEEK: 2 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: OVERSEES BOARD MEETINGS; 3. NAME OF OTHER BUSINESS: FLAT IRON K, LLC INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: REAL ESTATE START DATE: 1/2015 POSITION/TITLE/RELATIONSHIP: PARTIAL OWNER APX NUMBER OF HOURS PER WEEK: 0 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: PART OWNER OF OFFICE BUILDING; 4. NAME OF OTHER BUSINESS: NOTARY INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: NOTARY SERVICES START DATE: 1/2055 POSITION/TITLE/RELATIONSHIP: NOTARY APX NUMBER OF HOURS PER WEEK: MINIMAL APX NUMBER OF HOURS DURING TRADING HOURS: MINIMAL BRIEF DESCRIPTION OF DUTIES: NOTARY SERVICES; 5. NAME OF OTHER BUSINESS: THE ASSOCIATES GROUP, INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: LIFE INSURANCE AND HEALTH INSURANCE START DATE: 05/2025, POSITION/TITLE/RELATIONSHIP: PRESIDENT/OWNER, APX NUMBER OF HOURS PER WEEK: 4 APX NUMBER OF HOURS DURING TRADING HOURS: W BRIEF DESCRIPTION OF DUTIES: HEALTH INSURANCE; 6. NAME OF OTHER BUSINESS: THE ASSOCIATES GROUP; INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 12/1987, POSITION/TITLE/RELATIONSHIP: OWNER, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FIXED INSURANCE SERVICES;
CRS (Client Relationship Summary) - RIA
Click below to view Alan Richard Nadolna'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®
NoneExperience
Current
May 2, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 600 Greenbay Road, Kenilworth, IL 60043RIA
CRD#: 105644
Kenilworth, IL
Current
May 1, 2025 - Present
CETERA ADVISORS LLC
Office #1: 600 Greenbay Road, Kenilworth, IL 60043BD
CRD#: 10299
KENILWORTH, IL
Past
November 1, 2021 - November 11, 2021
HIGHPOINT PLANNING PARTNERS
RIA
CRD#: 316636
KENILWORTH, IL
Past
November 1, 2021 - May 1, 2025
LASALLE ST. INVESTMENT ADVISORS, L.L.C.
RIA
CRD#: 109701
Kenilworth, IL
Past
October 25, 2021 - October 26, 2021
LASALLE ST. INVESTMENT ADVISORS, L.L.C.
RIA
CRD#: 109701
Kenilworth, IL
Past
October 25, 2021 - May 1, 2025
LASALLE ST SECURITIES, L.L.C.
BD
CRD#: 7191
Kenilworth, IL
Past
May 18, 2018 - November 19, 2021
HIGHPOINT PLANNING PARTNERS
RIA
CRD#: 163768
Kenilworth, IL
Past
September 25, 2015 - March 28, 2018
TSFG, LLC
RIA
CRD#: 172555
Kenilworth, IL
Past
August 27, 2015 - August 27, 2015
LPL FINANCIAL LLC
RIA
CRD#: 6413
KENILWORTH, IL
Past
August 27, 2015 - November 9, 2021
LPL FINANCIAL LLC
BD
CRD#: 6413
KENILWORTH, IL
Past
November 12, 2003 - August 28, 2015
CORRELL CO. INVESTMENT SERVICES CORP.
RIA
CRD#: 38995
HICKORY HILLS, IL
Past
May 14, 1997 - August 28, 2015
CORRELL CO. INVESTMENT SERVICES CORP.
BD
CRD#: 38995
HICKORY HILLS, IL
Past
October 20, 1995 - May 7, 1997
WATERSTONE FINANCIAL GROUP, INC.
BD
CRD#: 10078
BOSTON, MA
Past
August 11, 1993 - August 16, 1995
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SPRINGFIELD, MA
Past
September 16, 1986 - July 22, 1993
MUTUAL SERVICE CORPORATION
BD
CRD#: 4806
BOSTON, MA
Past
November 25, 1985 - September 19, 1986
INTEGRATED RESOURCES EQUITY CORPORATION
BD
CRD#: 6403
Past
December 8, 1982 - December 3, 1985
JOHN HANCOCK DISTRIBUTORS LLC
BD
CRD#: 5249
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(5/6/2025)
RR
California(5/2/2025)
RR
Connecticut(5/2/2025)
RR
Florida(5/2/2025)
RR
Illinois(5/2/2025)
IAR
Illinois(5/2/2025)
RR
Indiana(5/6/2025)
RR
Kentucky(5/5/2025)
RR
Maryland(5/2/2025)
RR
Massachusetts(5/2/2025)
RR
Michigan(5/5/2025)
RR
New York(5/2/2025)
RR
Ohio(8/28/2025)
RR
Tennessee(5/2/2025)
RR
Texas(5/2/2025)
IAR
Texas(5/2/2025)
RR
Utah(5/2/2025)
RR
Wisconsin(5/1/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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.
