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Paul Wayne Ewing

Paul W. Ewing

CETERA INVESTMENT ADVISERS
OVERLAND PARK, KS 66210
Some features on this profile are disabled
CRD#: 1175958
Paul Wayne Ewing

Professional summary

Paul Wayne Ewing, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Overland Park, Kansas and CETERA ADVISORS LLC located in Overland Park, Kansas.

Paul is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Paul has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22, Series 6, 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Paul Wayne Ewing'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: 1995

Experience

Current

March 7, 2024 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 10955 Lowell Ave Ste 900 910, 920, 100, & 200, Overland Park, KS, 66210Office #2: 5129 Castello Dr Ste 2, Naples, FL 34103
RIA
CRD#: 105644
OVERLAND PARK, KS
Current

January 1, 2004 - Present

CETERA ADVISORS LLC

Office #1: 10955 Lowell Ave Ste 900 910, 920, 100, & 200, Overland Park, KS, 66210Office #2: 5129 Castello Dr Ste 2, Naples, FL 34103
BD
CRD#: 10299
Overland Park, KS
Past

January 1, 2004 - March 21, 2024

CETERA ADVISORS LLC

RIA
CRD#: 10299
Naples, FL
Past

May 5, 2003 - December 31, 2003

CETERA ADVISORS LLC

RIA
CRD#: 10299
OVERLAND PARK, KS
Past

April 25, 2003 - December 31, 2003

CETERA ADVISORS LLC

BD
CRD#: 10299
GREENWOOD VILLAGE, CO
Past

October 12, 1999 - December 31, 2005

PROSPERITY NETWORK, INC

RIA
CRD#: 116331
OVERLAND PARK, KS
Past

July 22, 1999 - March 1, 2000

LOCUST STREET SECURITIES, INC.

BD
CRD#: 1703
DES MOINES, IA
Past

June 16, 1999 - January 1, 2004

VESTAX SECURITIES CORPORATION

RIA
CRD#: 10332
OVERLAND PARK, KS
Past

April 5, 1999 - January 1, 2004

VESTAX SECURITIES CORPORATION

BD
CRD#: 10332
HUDSON, OH
Past

April 10, 1990 - March 3, 1999

WALNUT STREET SECURITIES, INC.

BD
CRD#: 15840
EL SEGUNDO, CA
Past

November 7, 1989 - April 26, 1990

TITAN/VALUE EQUITIES GROUP, INC.

BD
CRD#: 6359
IRVINE, CA
Past

August 16, 1989 - November 7, 1989

VALUE EQUITIES CORPORATION

BD
CRD#: 13316
Past

October 26, 1983 - August 12, 1989

WS GRIFFITH SECURITIES, INC.

BD
CRD#: 10410
HARTFORD, CT

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
Florida
(1/1/2004)
IAR
Florida
(3/7/2024)
RR
Kansas
(1/1/2004)
IAR
Kansas
(3/21/2024)
IAR
Texas
(3/21/2024)
RR
Texas
(2/22/2026)

Exams

State Security Law Exam
IAR
Series 65
Date: 6/9/1998
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/30/1983
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/17/1989
General Securities Representative Examination
General Industry/Product Exam
RR
Series 22
Date: 1/6/1984
Direct Participation Programs Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 10/24/1983
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 51
Date: 3/20/2003
Municipal Fund Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/7/1989
General Securities Principal Examination
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)
PREMIUM
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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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Regulatory assets under management

Total Number of Accounts584,487
AUM (Assets Under Management)$ 163,792,814,520

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
10/27/2025
Cover Page
Report
12/13/2024
Cover Page
Report
09/26/2023
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.

Company Information

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644Overland Park, KS 66210

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