CH
Cleo W. Holder
CETERA INVESTMENT ADVISERS LLC
NEWBURGH, IN 47630
Some features on this profile are disabled
CRD#: 1067352
CH
Professional summary
Cleo W Holder, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Newburgh, Indiana and CETERA WEALTH SERVICES, LLC located in Newburgh, Indiana.
Cleo is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Cleo has worked at 9 firms and has passed the 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.
ADVANTAGE TAX AND ACCOUNTING INC POSITION: Owner NATURE: Accountant/CPA INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 2 START DATE: 01/01/2008 ADDRESS: , Newburgh IN , United States DESCRIPTION: Owner CLEO W HOLDER CFP & CO POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/01/1986 ADDRESS: , Neburgh IN , United States DESCRIPTION: Agent/Broker NOAH'S ARK PRESCHOOL POSITION: Member NATURE: Board Member INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 07/01/2017 ADDRESS: , Newburgh IN , United States DESCRIPTION: Member RENTAL PROPERTY POSITION: Owner NATURE: Rental Property INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2014 ADDRESS: , Gulf Shores AL , United States DESCRIPTION: Owner HOLDER PROPERTIES LLC POSITION: Owner NATURE: Rental Property INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2021 ADDRESS: 8988 Ruffian lane, Newburgh IN 47629, United States DESCRIPTION: Rental of Office building STUDENT CHRISTIAN FELLOWSHIP POSITION: Advisory Board NATURE: Volunteer/Community Outreach INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2021 ADDRESS: 440 S Weinbach Ave, Evansville IN 47714, United States DESCRIPTION: On Board to help promote Christian values at University of Sothern Indiana and University of Evansville HOLDER INVESTMENT SERVICES, INC POSITION: Owner NATURE: Business Owner INVESTMENT RELATED: Yes NUMBER OF HOURS: 240 SECURITIES TRADING HOURS: 8 START DATE: 01/01/2021 ADDRESS: 8988 Ruffian Lane, Newburgh IN 47630, United States DESCRIPTION: Holder Investment Services is the Corp that all compensation is moved to from Cleo W. Holder, CFP and Assoc. to pay salaries and ongoing business expenses SHOEMAKER FINANCIAL FIXED INSURANCE POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 02/17/2021 ADDRESS: 2176 West St Ste 100, Germantown TN 38138, United States DESCRIPTION: Fixed Insurance sales
CRS (Client Relationship Summary) - RIA
Click below to view Cleo W Holder'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: 1989
Experience
Current
August 10, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 8988 Ruffian Ln, Newburgh, IN 47630RIA
CRD#: 105644
NEWBURGH, IN
Current
August 10, 2023 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 8988 Ruffian Lane, Newburgh, IN 47630BD
CRD#: 13572
Newburgh, IN
Past
October 11, 2007 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.
RIA
CRD#: 15296
NEWBURGH, IN
Past
October 3, 2007 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
NEWBURGH, IN
Past
September 28, 1994 - December 20, 2007
CHARTER FINANCIAL GROUP
RIA
CRD#: 122176
NEWBURGH, IN
Past
October 13, 1987 - December 20, 2007
FIRST SECURITIES NETWORK CORPORATION
BD
CRD#: 19435
NEWBURGH, IN
Past
October 31, 1986 - June 9, 1987
ABACUS EQUITY SERVICES, INC.
BD
CRD#: 11271
Past
November 7, 1985 - October 31, 1986
CARDELL & ASSOCIATES, INCORPORATED
BD
CRD#: 7700
Past
November 9, 1983 - February 11, 1986
MONY SECURITIES CORPORATION
BD
CRD#: 4386
Past
October 20, 1982 - October 26, 1983
STRUCTURED SHELTERS SECURITIES, INC.
BD
CRD#: 10307
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
Alabama(8/10/2023)
RR
Alaska(10/4/2023)
RR
Arizona(8/10/2023)
RR
California(8/10/2023)
RR
Colorado(8/10/2023)
RR
Delaware(9/25/2024)
RR
Florida(8/14/2023)
RR
Georgia(8/10/2023)
RR
Illinois(8/10/2023)
RR
Indiana(8/10/2023)
IAR
Indiana(8/10/2023)
RR
Kansas(8/10/2023)
RR
Kentucky(8/10/2023)
RR
Louisiana(8/10/2023)
RR
Massachusetts(10/12/2023)
RR
Michigan(8/10/2023)
RR
Minnesota(9/4/2024)
RR
Missouri(8/10/2023)
RR
Nevada(8/10/2023)
RR
New Mexico(8/10/2023)
RR
New York(8/10/2023)
RR
North Carolina(8/10/2023)
RR
Ohio(8/10/2023)
RR
Pennsylvania(8/10/2023)
RR
South Carolina(8/10/2023)
RR
Tennessee(8/10/2023)
RR
Texas(8/10/2023)
IAR
Texas(8/10/2023)
RR
Virginia(8/10/2023)
RR
Washington(8/10/2023)
RR
Wisconsin(8/10/2023)
RR
Wyoming(8/10/2023)
Exams
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
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#: 105644Newburgh, IN 47630TRUST BUT VERIFY
Monitor Cleo Holder
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
