Arthur J. Mcphail

CETERA INVESTMENT ADVISERS LLC

HUNTLEY, IL 60142

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CRD#: 1155417

Professional summary

Arthur Joseph Mcphail, who also goes by Art Mcphail, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Huntley, Illinois and CETERA WEALTH SERVICES, LLC located in Huntley, Illinois.

Arthur is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Arthur has worked at 10 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Art Mcphail

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) PERSONALIZED FINANCIAL RESOURCES, LLC; SINCE 01/01/1976; ADDRESS SAME AS BRANCH; FINANCIAL SERVICES PROFESSIONAL; determine needs for and sale of insurance; VARIABLE HOURS SPENT ON ACTIVITY PER MONTH

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Arthur Joseph Mcphail'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®

None

Experience

Current

June 29, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 10409 Fair Lane, Huntley, IL 60142Office #2: 1415 West 22 St Tower Floor, Oak Brook, IL 60523

RIA

CRD#: 105644

HUNTLEY, IL

Current

September 20, 2019 - Present

CETERA WEALTH SERVICES, LLC

Office #2: 1415 West 22 St Tower Floor, Oak Brook, IL 60523

CRD#: 13572

HUNTLEY, IL

Past

May 20, 2021 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

EL SEGUNDO, CA

Past

October 3, 2017 - May 20, 2021

SUMMIT FINANCIAL GROUP INC

RIA

CRD#: 109485

OAK BROOK, IL

Past

September 10, 2015 - September 20, 2019

SUMMIT BROKERAGE SERVICES, INC.

CRD#: 34643

Oak Brook, IL

Past

September 23, 2011 - December 4, 2015

J.P. TURNER & COMPANY, L.L.C.

CRD#: 43177

OAKBROOK, IL

Past

December 20, 2006 - September 28, 2011

WORKMAN SECURITIES CORPORATION

CRD#: 31898

OAK BROOK, IL

Past

March 15, 1991 - January 3, 2007

1717 CAPITAL MANAGEMENT COMPANY

CRD#: 4082

LOMBARD, IL

Past

July 2, 1987 - April 2, 1991

FIDELITY EQUITY SERVICES CORPORATION

CRD#: 17455

Past

December 24, 1986 - July 1, 1987

JOHN HANCOCK DISTRIBUTORS LLC

CRD#: 5249

Past

August 3, 1983 - January 7, 1985

PEB FINANCIAL GROUP, INC.

CRD#: 7708

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

Alabama
(9/20/2019)

Arizona
(11/3/2020)

California
(12/4/2019)

Florida
(9/23/2019)

Georgia
(9/20/2019)

Illinois
(9/20/2019)

IAR

Illinois
(6/29/2023)

Indiana
(5/20/2020)

Kentucky
(9/20/2019)

Maine
(1/4/2024)

Maryland
(9/20/2019)

Massachusetts
(2/4/2020)

Minnesota
(10/6/2021)

Nevada
(11/6/2020)

Tennessee
(1/18/2023)

Texas
(1/7/2022)

IAR

Texas
(6/29/2023)

Wisconsin
(9/20/2019)

Wyoming
(1/10/2025)

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: 9/27/2017

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/18/2016

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 7/19/1983

Investment Company Products/Variable Contracts Representative 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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Advisor Monitoring

Firm Stability Insights

Arthur J. Mcphail

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Arthur Joseph Mcphail's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

SUMMIT FINANCIAL GROUP INC

SUMMIT BROKERAGE SERVICES, INC.

J.P. TURNER & COMPANY, L.L.C.

WORKMAN SECURITIES CORPORATION

1717 CAPITAL MANAGEMENT COMPANY

FIDELITY EQUITY SERVICES CORPORATION

JOHN HANCOCK DISTRIBUTORS LLC

PEB FINANCIAL GROUP, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/27/2017

Series 63

Date: 2/18/2016

SIE

Date: 10/1/2018

Series 6

Date: 7/19/1983

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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