GW
George W. Walters
CETERA INVESTMENT ADVISERS LLC
MODESTO, CA 95356
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CRD#: 1029897
GW
Professional summary
George William Walters, AIF® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Modesto, California and CETERA WEALTH SERVICES, LLC located in Modesto, California.
George is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. George has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 51 and Series 24 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: CALIFORNIA ASSET MANAGEMENT INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE SALES START DATE: 12/2014 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT APX NUMBER OF HOURS PER WEEK: 10 APX NUMBER OF HOURS DURING TRADING HOURS: VARIES BRIEF DESCRIPTION OF DUTIES: DBA FOR INSURANCE SALES; 2. NAME OF OTHER BUSINESS: CAM DIRECTED INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: GROUP RETIREMENT INSURANCE START DATE: 02/2019 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: 15 MAY BE DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: DBA GROUP RETIREMENT INSURANCE PLANS
CRS (Client Relationship Summary) - RIA
Click below to view George William Walters'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®
Experience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 2937 Veneman Ave Ste B200, Modesto, CA 95356RIA
CRD#: 105644
MODESTO, CA
Current
April 13, 1995 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 2937 Veneman Ave Ste B200, Modesto, CA 95356BD
CRD#: 13572
Modesto, CA
Past
July 8, 1997 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
March 15, 1993 - April 27, 1995
G.R. STUART & COMPANY, INC.
BD
CRD#: 29101
MAYNARD, MA
Past
May 31, 1989 - March 18, 1993
FIRST AFFILIATED SECURITIES
BD
CRD#: 23737
LA JOLLA, CA
Past
March 13, 1987 - May 31, 1989
FIRST AFFILIATED SECURITIES, INC.
BD
CRD#: 6871
Past
January 12, 1987 - March 17, 1987
FINANCIAL WEST GROUP
BD
CRD#: 16668
Past
March 7, 1984 - December 23, 1985
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
BD
CRD#: 76
Past
March 1, 1982 - March 27, 1984
G. W. STORY & ASSOCIATES, INC.
BD
CRD#: 6277
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(11/21/2018)
RR
Arkansas(5/17/2017)
RR
California(4/17/1995)
IAR
California(6/29/2023)
RR
Colorado(6/21/2021)
RR
Georgia(6/21/2021)
RR
Idaho(9/13/2016)
RR
Illinois(1/2/2024)
RR
Indiana(6/21/2021)
RR
Kansas(6/21/2021)
RR
Kentucky(1/2/2024)
RR
Maine(1/2/2024)
RR
Massachusetts(1/2/2024)
RR
Michigan(1/2/2024)
RR
Minnesota(1/3/2020)
RR
Missouri(4/28/2017)
RR
Montana(7/1/2010)
RR
Nebraska(8/4/2010)
RR
Nevada(1/5/2005)
RR
North Carolina(1/3/2020)
RR
Oklahoma(1/2/2024)
RR
Oregon(4/13/1995)
RR
South Carolina(1/2/2024)
RR
South Dakota(8/15/2018)
RR
Texas(1/2/2024)
IAR
Texas(1/2/2024)
RR
Utah(4/17/2012)
RR
Washington(1/5/2005)
RR
Wisconsin(4/26/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Modesto, CA 95356TRUST BUT VERIFY
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