Ronald E. Dade

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CRD#: 1087920

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.

Ronald Edwin Dade, AIF® was a registered financial professional .

Ronald is a previously registered financial professional and started their career in finance in 1983. Ronald had worked at 5 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 22, Series 6, Series 51 and Series 24 exams.

Biography

Our team only works with Seniors(55+)that are planning retirement. This is my 30th year with current broker dealer. An independent broker dealer that does not offer their own products. It is our choice to work with Seniors as I am one.  Although we have witnessed many changes in financial services our goal remains the same- do what is right for the client first, we will share in the growth with the client.

Question & Answer

What are your service offerings?

Retirement planning

Trust & estate planning

Executive services/equity comp...

What is your current number of clients?

Under 100

What is your minimum asset requirement?

500K

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.

DBA: RONALD E DADE & ASSOCIATES INSURANCE SALES: LIFE, DISABILITY, ANNUITIES AND LONG TERM CARE INSURANCE

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®

AIF^®

Accredited Investment Fiduciary

Experience

Past

June 29, 2023 - January 21, 2025

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

WESTMINSTER, MA

Past

January 5, 1995 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

WESTMINSTER, MA

Past

March 23, 1992 - December 31, 2024

CETERA WEALTH SERVICES, LLC

CRD#: 13572

WESTMINSTER, MA

Past

September 27, 1984 - July 26, 1990

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

MILWAUKEE, WI

Past

September 13, 1984 - July 26, 1990

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

MILWAUKEE, WI

Past

February 17, 1983 - September 14, 1984

NEW ENGLAND SECURITIES

CRD#: 615

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 66

Date: 8/5/2002

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 6/30/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/25/1986

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: 4/18/1987

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 8/17/1983

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 1/20/1983

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 51

Date: 4/23/2003

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 10/9/1986

General Securities Principal Examination

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Ronald E. Dade

Professional summary

Biography

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

ROBERT W. BAIRD & CO. INCORPORATED

NEW ENGLAND SECURITIES

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/5/2002

Series 65

Date: 6/30/1999

Series 63

Date: 7/25/1986

SIE

Date: 10/1/2018

Series 7

Date: 4/18/1987

Series 22

Date: 8/17/1983

Series 6

Date: 1/20/1983

Series 51

Date: 4/23/2003

Series 24

Date: 10/9/1986

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

Contact information

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