Robert R. Ow

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CRD#: 1205064

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.

Robert Ray Ow was a registered financial professional .

Robert is a previously registered financial professional and started their career in finance in 1984. Robert had worked at 10 firms and has passed the Series 63, SIE, Series 7, Series 22, Series 6 and Series 24 exams.

Question & Answer

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.

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: 7/1981 APX NUMBER OF HOURS PER WEEK: 10 APX NUMBER OF HOURS DURING TRADING HOURS: 1 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, ANNUITIES, AND LONG-TERM CARE; 2. NAME OF OTHER BUSINESS: RODEO INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: COMPETITIVE EQUESTRIAN ACTIVITY. MAKE MONEY, WIN PRIZES SUCH AS BELT BUCKLES AND SADDLES START DATE: 6/2010 POSITION/TITLE/RELATIONSHIP: HORSE OWNER APX NUMBER OF HOURS PER WEEK: 15 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: I OWN THE HORSES AND EQUIPMENT NECESSARY TO REGULARLY PRACTICE AND COMPETE IN TEAM ROPING;

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®

None

Experience

Past

June 29, 2023 - October 22, 2025

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

FERNDALE, CA

Past

February 22, 2023 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

Eureka, CA

Past

February 22, 2023 - October 22, 2025

CETERA WEALTH SERVICES, LLC

CRD#: 13572

Eureka, CA

Past

October 18, 2022 - January 31, 2023

OSAIC SERVICES, INC.

RIA

CRD#: 133763

FERNDALE, CA

Past

October 17, 2022 - January 31, 2023

OSAIC SERVICES, INC.

CRD#: 133763

FERNDALE, CA

Past

December 31, 1997 - October 26, 2022

LPL FINANCIAL LLC

RIA

CRD#: 6413

FERNDALE, CA

Past

April 2, 1997 - October 26, 2022

LPL FINANCIAL LLC

CRD#: 6413

FERNDALE, CA

Past

November 25, 1994 - April 7, 1997

SUNAMERICA SECURITIES, INC.

CRD#: 20068

PHOENIX, AZ

Past

October 9, 1992 - November 30, 1994

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

October 9, 1992 - November 30, 1994

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Past

April 24, 1989 - October 15, 1990

THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK

CRD#: 2873

NEW YORK, NY

Past

April 24, 1989 - November 5, 1992

MONY SECURITIES CORPORATION

CRD#: 4386

NEW YORK, NY

Past

August 16, 1984 - May 15, 1989

NYLIFE SECURITIES LLC

CRD#: 5167

NEW YORK, NY

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

Series 63

Date: 6/30/1997

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: 4/7/1997

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 6/12/1986

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 8/13/1984

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/30/1997

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.

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Firm Stability Insights

Robert R. Ow

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

OSAIC SERVICES, INC.

OSAIC SERVICES, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

SUNAMERICA SECURITIES, INC.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK

MONY SECURITIES CORPORATION

NYLIFE SECURITIES LLC

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 6/30/1997

SIE

Date: 10/1/2018

Series 7

Date: 4/7/1997

Series 22

Date: 6/12/1986

Series 6

Date: 8/13/1984

Series 24

Date: 6/30/1997

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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