Edward K. Dare

Some features on this profile are disabled

CRD#: 1041221

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Edward Kramer Dare III was a registered financial professional .

Edward is a previously registered financial professional and started their career in finance in 1982. Edward had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

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) INDEPENDENT INSURANCE AGENT, SELLING DISABILITY, FIXED ANNUITIES, LIFE, ACCIDENT, HEALTH, LTC, FROM BUSINESS ADDRESS, FOR 14 WKDY & 2 EVE/WKND HRS/WK, SINCE 5/1976; (2) VICUS CAPITAL, INC., INVESTMENT RELATED, SAME AS REGISTERED ADDRESS, OUTSIDE RIA - ADVISORY BUSINESS, START 01/2002, 16HRS/WK (14 TRADING HOURS), INVESTMENT ADVISOR REPRESENTATIVE; (3) OWNER OF MANAGING GENERAL AGENTS, DBA PENNSYLVANIA FINANCIAL GROUP AND PFG FINANCIAL ADVISORS, OVERSIGHT OF COMPANY, FROM BUSINESS ADDRESS, FOR 40 WKDY & 3 EVE/WKND HRS/WK, SINCE 7/1997; (4) NAME OF OTHER BUSINESS: VICUS CAPITAL, INC. INVESTMENT RELATED: YES ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: DBA FOR FINANCIAL SERVICES ; START DATE: 01/2017 ; APX NUMBER OF HOURS PER WEEK: 40 ; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 ; POSITION/TITLE/RELATIONSHIP: EXECUTIVE VICE PRESIDENT ; BRIEF DESCRIPTION OF DUTIES: MONITOR DAY TO DAY OPERATIONS OF RIA, HAS BOOK OF BUSINESS (5) NAME OF OTHER BUSINESS: NUWORKS LLC; INVESTMENT RELATED: NO; ADDRESS: 476 ROLLING RIDGE DRIVE STATE COLLEGE, PA 16801; NATURE OF BUSINESS: SOFTWARE DEVELOPMENT COMPANY; START DATE: 8/2021; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: SOFTWARE DEVELOPMENT COMPANY, EMPLOYS SOFTWARE DEVELOPERS; (6) NAME OF OTHER BUSINESS: SKYTOP PROPERTIES, LLC; INVESTMENT RELATED: NO; ADDRESS: 476 ROLLING RIDGE DR SUITE 315 STATE COLLEGE, PA 16801; NATURE OF BUSINESS: COMMERCIAL RESL ESTATE; START DATE: 04/2024; POSITION/TITLE/RELATIONSHIP: CO-MANAGER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: REAL ESTATE RENTAL PROPERTY;

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

June 5, 2023 - December 31, 2024

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

SANIBEL, FL

Past

September 3, 2013 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

STATE COLLEGE, PA

Past

September 3, 2013 - December 31, 2024

CETERA WEALTH SERVICES, LLC

CRD#: 13572

STATE COLLEGE, PA

Past

August 19, 2011 - December 21, 2012

TOWER SQUARE SECURITIES, INC.

RIA

CRD#: 833

STATE COLLEGE, PA

Past

August 11, 2011 - December 21, 2012

TOWER SQUARE SECURITIES, INC.

CRD#: 833

STATE COLLEGE, PA

Past

May 8, 2009 - September 3, 2013

WALNUT STREET SECURITIES, INC.

RIA

CRD#: 15840

STATE COLLEGE, PA

Past

February 3, 2005 - December 31, 2024

VICUS CAPITAL, INC.

RIA

CRD#: 116021

STATE COLLEGE, PA

Past

September 5, 2001 - September 3, 2013

WALNUT STREET SECURITIES, INC.

CRD#: 15840

STATE COLLEGE, PA

Past

August 18, 1997 - August 29, 2001

1717 CAPITAL MANAGEMENT COMPANY

CRD#: 4082

NEWARK, DE

Past

August 26, 1982 - April 9, 1997

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

Past

April 22, 1982 - December 10, 1993

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

CRD#: 680

NEWARK, NJ

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".

CETERA INVESTMENT ADVISERS LLC

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.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/14/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/11/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/13/1998

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/21/1982

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/25/2009

General Securities Principal Examination

Principal/Supervisory Exam

Series 26

Date: 10/24/1989

Investment Company Products/Variable Contracts Principal Examination

Current Firm

CETERA INVESTMENT ADVISERS LLC

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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

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	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Edward K. Dare

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

TOWER SQUARE SECURITIES, INC.

TOWER SQUARE SECURITIES, INC.

WALNUT STREET SECURITIES, INC.

VICUS CAPITAL, INC.

WALNUT STREET SECURITIES, INC.

1717 CAPITAL MANAGEMENT COMPANY

PRUCO SECURITIES, LLC.

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/14/1997

Series 63

Date: 7/11/1988

SIE

Date: 10/1/2018

Series 7

Date: 1/13/1998

Series 6

Date: 4/21/1982

Series 24

Date: 9/25/2009

Series 26

Date: 10/24/1989

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

Similar Advisors