Robert C. Shutte

CETERA INVESTMENT ADVISERS LLC

ALLENTOWN, PA

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CRD#: 1060891

Professional summary

Robert Charles Shutte JR, CFP®, who also goes by Jr Robert Charles Shutte, Robert Charles (jr) Shutte, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Allentown, Pennsylvania and CETERA WEALTH SERVICES, LLC located in Allentown, Pennsylvania.

Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Robert has worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jr Robert Charles Shutte | Robert Charles (jr) Shutte

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: 04/2018 Apx number of hours per week: varies Apx number of hours during trading hours: varies Position/title/relationship: Insurance Agent Brief description of duties: Sells Life 2. Name of other business: Independent financial advisors, Inc. Investment related: Yes Address: Same as Registered Location Nature of business: financial services Start date: 02/1997 Position/title/relationship: financial services Apx number of hours per week: 60 Apx number of hours during trading hours: 60 Brief description of duties: owner, responsible for all business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Charles Shutte JR's CRS (Customer Relationship Summary).

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^®

Certified Financial Planner

Start date: 1988

Experience

Current

June 29, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

ALLENTOWN, PA

Current

June 25, 2018 - Present

CETERA WEALTH SERVICES, LLC

CRD#: 13572

ALLENTOWN, PA

Past

June 25, 2018 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

EL SEGUNDO, CA

Past

February 23, 2010 - July 3, 2018

LPL FINANCIAL LLC

RIA

CRD#: 6413

EASTON, PA

Past

February 28, 2007 - July 3, 2018

LPL FINANCIAL LLC

CRD#: 6413

EASTON, PA

Past

April 30, 2003 - April 27, 2005

UNITED SECURITIES ALLIANCE, INC.

RIA

CRD#: 36487

EASTON, PA

Past

April 25, 2003 - February 28, 2007

UNITED SECURITIES ALLIANCE, INC.

CRD#: 36487

EASTON, PA

Past

January 6, 2003 - December 16, 2009

INDEPENDENT FINANCIAL ADVISORS

RIA

CRD#: 123276

EASTON, PA

Past

December 22, 1998 - April 28, 2003

FSC SECURITIES CORPORATION

CRD#: 7461

ATLANTA, GA

Past

January 1, 1992 - December 22, 1998

CETERA WEALTH SERVICES, LLC

CRD#: 13572

EL SEGUNDO, CA

Past

May 29, 1991 - January 1, 1992

CHRIS SECURITIES INC.

CRD#: 4453

Past

August 13, 1985 - August 24, 1990

PSI SECURITIES CORPORATION

CRD#: 10322

GLENDALE, CA

Past

September 27, 1984 - September 9, 1985

FOCUS SECURITIES, INC.

CRD#: 15023

Past

June 27, 1983 - August 10, 1984

THOMSON MCKINNON SECURITIES INC.

CRD#: 829

Past

October 25, 1982 - June 6, 1983

CADARET, GRANT & CO., INC.

CRD#: 10641

Past

August 20, 1982 - December 8, 1982

INDEPENDENT FINANCIAL PLANNERS CORPORATION

CRD#: 653

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Colorado
(6/25/2018)

Florida
(6/25/2018)

Hawaii
(6/25/2018)

Massachusetts
(10/2/2019)

New Jersey
(6/25/2018)

New York
(9/20/2018)

Pennsylvania
(6/25/2018)

IAR

Pennsylvania
(6/29/2023)

Tennessee
(6/25/2018)

Virginia
(6/25/2018)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/11/1993

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/2/1982

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: 3/19/1983

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/18/1982

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/6/1985

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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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)

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.

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Robert C. Shutte

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Charles Shutte JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

UNITED SECURITIES ALLIANCE, INC.

UNITED SECURITIES ALLIANCE, INC.

INDEPENDENT FINANCIAL ADVISORS

FSC SECURITIES CORPORATION

CETERA WEALTH SERVICES, LLC

CHRIS SECURITIES INC.

PSI SECURITIES CORPORATION

FOCUS SECURITIES, INC.

THOMSON MCKINNON SECURITIES INC.

CADARET, GRANT & CO., INC.

INDEPENDENT FINANCIAL PLANNERS CORPORATION

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/11/1993

Series 63

Date: 11/2/1982

SIE

Date: 10/1/2018

Series 7

Date: 3/19/1983

Series 6

Date: 8/18/1982

Series 24

Date: 3/6/1985

FINRA

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

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