Wayne E. Sprenger

CETERA INVESTMENT ADVISERS LLC

COLORADO SPRINGS, CO 80918

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CRD#: 1210019

Professional summary

Wayne Edward Sprenger, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Colorado Springs, Colorado and CETERA WEALTH SERVICES, LLC located in Colorado Springs, Colorado.

Wayne is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Wayne has worked at 12 firms and has passed the Series 66, SIE, Series 7, Series 6 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.

1. DBA: ASCENT FINANCIAL STRATEGIES LLC. 2)INDEPENDENT REP WITH BENEFIT CONSULTANTS INC FOR FIXED ONLY. 2. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; APX NUMBER OF HOURS PER WEEK: 4; APX NUMBER OF HOURS DURING TRADING HOURS: 4; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, ANNUITIES AND LONG TERM CARE;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Wayne Edward Sprenger'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: 1993

Experience

Current

June 29, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 2150 Hollow Brook Drive Ste 210, Colorado Springs, CO 80918

RIA

CRD#: 105644

COLORADO SPRINGS, CO

Current

November 1, 2017 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 2150 Hollow Brook Drive Ste 210, Colorado Springs, CO 80918

CRD#: 13572

Colorado Springs, CO

Past

September 6, 2017 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

Colorado Springs, CO

Past

June 30, 2015 - November 1, 2017

GIRARD SECURITIES, INC.

RIA

CRD#: 18697

Colorado Springs, CO

Past

June 30, 2015 - November 1, 2017

GIRARD SECURITIES, INC.

CRD#: 18697

Colorado Springs, CO

Past

April 1, 2008 - July 2, 2015

GENEOS WEALTH MANAGEMENT, INC.

RIA

CRD#: 120894

COLORADO SPRINGS, CO

Past

April 1, 2008 - July 2, 2015

GENEOS WEALTH MANAGEMENT, INC.

CRD#: 120894

COLORADO SPRINGS, CO

Past

November 22, 2005 - April 24, 2008

OSAIC WEALTH, INC.

RIA

CRD#: 23131

COLORADO SPRINGS, CO

Past

July 7, 2005 - April 24, 2008

OSAIC WEALTH, INC.

CRD#: 23131

COLORADO SPRINGS, CO

Past

January 1, 1999 - July 13, 2005

WALNUT STREET ADVISERS INC

RIA

CRD#: 109903

COLORADO SPRINGS, CO

Past

January 1, 1999 - December 31, 2009

WAYNE E. SPRENGER, FINANCIAL PLANNING

RIA

CRD#: 114385

COLORADO SPRINGS, CO

Past

August 3, 1993 - July 13, 2005

WALNUT STREET SECURITIES, INC.

CRD#: 15840

EL SEGUNDO, CA

Past

July 25, 1991 - August 3, 1993

CONSOLIDATED INVESTMENT SERVICES, INC.

CRD#: 7929

LITTLETON, CO

Past

August 7, 1989 - June 21, 1991

VSR FINANCIAL SERVICES, INC.

CRD#: 14503

OVERLAND PARK, KS

Past

January 6, 1987 - October 24, 1988

CONSOLIDATED INVESTMENT SERVICES, INC.

CRD#: 7929

Past

October 21, 1985 - November 26, 1986

ANCHOR NATIONAL FINANCIAL SERVICES, INC.

CRD#: 5774

Past

April 2, 1985 - July 19, 1985

ANCHOR NATIONAL FINANCIAL SERVICES, INC.

CRD#: 5774

Past

January 11, 1984 - March 15, 1985

PFS INVESTMENTS INC.

CRD#: 10111

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
(11/1/2017)

Arizona
(11/1/2017)

California
(11/1/2017)

Colorado
(11/1/2017)

IAR

Colorado
(6/29/2023)

Florida
(6/12/2019)

Hawaii
(11/1/2017)

Idaho
(11/1/2017)

Kansas
(11/1/2017)

Missouri
(11/1/2017)

Nebraska
(1/10/2020)

New Mexico
(11/1/2017)

North Carolina
(8/14/2019)

Oklahoma
(11/1/2017)

Oregon
(3/12/2018)

Pennsylvania
(8/13/2021)

Texas
(11/1/2017)

IAR

Texas
(6/29/2023)

Virginia
(2/1/2019)

Washington
(11/1/2017)

Wisconsin
(5/5/2022)

Wyoming
(11/3/2021)

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 66

Date: 9/9/1999

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/28/1999

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 1/10/1984

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/15/2002

General Securities Principal 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

Wayne E. Sprenger

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Wayne Edward Sprenger's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

GIRARD SECURITIES, INC.

GIRARD SECURITIES, INC.

GENEOS WEALTH MANAGEMENT, INC.

GENEOS WEALTH MANAGEMENT, INC.

OSAIC WEALTH, INC.

OSAIC WEALTH, INC.

WALNUT STREET ADVISERS INC

WAYNE E. SPRENGER, FINANCIAL PLANNING

WALNUT STREET SECURITIES, INC.

CONSOLIDATED INVESTMENT SERVICES, INC.

VSR FINANCIAL SERVICES, INC.

CONSOLIDATED INVESTMENT SERVICES, INC.

ANCHOR NATIONAL FINANCIAL SERVICES, INC.

ANCHOR NATIONAL FINANCIAL SERVICES, INC.

PFS INVESTMENTS INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/9/1999

SIE

Date: 10/1/2018

Series 7

Date: 7/28/1999

Series 6

Date: 1/10/1984

Series 24

Date: 10/15/2002

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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