CM
Carl L. Meier
CETERA INVESTMENT ADVISERS LLC
CONCORD, CA 94520
Some features on this profile are disabled
CRD#: 1034987
CM
Professional summary
Carl Louis Meier, AIF®, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Concord, California and CETERA WEALTH SERVICES, LLC located in Concord, California.
Carl is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Carl has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 5 and Series 7 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, POSITION/TITLE/RELATIONSHIP: REPRESENTATIVE, BRIEF DESCRIPTION OF DUTIES: LIFE, HEALTH, ANNUITIES AND LONG TERM CARE; 2. NAME OF OTHER BUSINESS: CARL AND BARBARA MEIER, INVESTMENT RELATED: NO, ADDRESS: 1400 CASA VALLECITA, ALAMO, CA 94507, NATURE OF BUSINESS: RENTAL PROPERTY, POSITION/TITLE/RELATIONSHIP: CO-OWNER, APX NUMBER OF HOURS PER MONTH: 3, 3. NAME OF OTHER BUSINESS: MT. DIABLO ROSE SOCIETY, INVESTMENT RELATED: NO, ADDRESS: 200 CIVIC PLAZA, DUBLIN, CA 94568, NATURE OF BUSINESS: NON-PROFIT GARDENING/ROSE CLUB, STARTED 1/2025, POSITION/TITLE/RELATIONSHIP: ELECTED BOARD MEMBER, APX NUMBER OF HOURS PER MONTH: 1, BRIEF DESCRIPTION OF DUTIES: HELP MAKE POLICY DECISIONS FOR THE SOCIETY;
CRS (Client Relationship Summary) - RIA
Click below to view Carl Louis Meier'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: 1994
Experience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 1390 Willow Pass Rd Ste 900, Concord, CA 94520RIA
CRD#: 105644
CONCORD, CA
Current
June 5, 2001 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 1390 Willow Pass Rd Ste 900, Concord, CA 94520BD
CRD#: 13572
Concord, CA
Past
July 12, 2001 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
PLEASANT HILL, CA
Past
June 21, 1995 - May 23, 2001
ROUND HILL SECURITIES, INC.
BD
CRD#: 35223
ALAMO, CA
Past
July 31, 1993 - June 5, 1995
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
January 18, 1985 - July 31, 1993
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
March 2, 1982 - December 26, 1984
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
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
Alaska(6/5/2001)
RR
Arizona(10/25/2012)
RR
California(6/5/2001)
IAR
California(6/29/2023)
RR
Colorado(10/8/2003)
RR
District of Columbia(4/1/2008)
RR
Idaho(6/25/2019)
RR
Illinois(3/20/2025)
RR
Massachusetts(10/8/2024)
RR
Nevada(3/23/2006)
RR
New York(6/5/2001)
RR
Oklahoma(2/21/2024)
RR
South Carolina(10/20/2021)
RR
Texas(7/12/2019)
IAR
Texas(6/29/2023)
RR
Virginia(12/2/2024)
RR
Washington(5/9/2011)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 5
Date: 3/30/1982
Interest Rate Options ExaminationGeneral 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
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Concord, CA 94520TRUST BUT VERIFY
Monitor Carl Meier
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
