GP
Gregory Powell
CETERA INVESTMENT ADVISERS LLC
Mundelein, IL
Some features on this profile are disabled
CRD#: 1217415
GP
Professional summary
Gregory Powell, who also goes by Gregg Ralph Powell, Gregory Ralph Powell, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Mundelein, Illinois and CETERA ADVISORS LLC located in Baton Rouge, Louisiana.
Gregory is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Gregory has worked at 12 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 4, Series 51 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Gregg Ralph Powell | Gregory Ralph Powell
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: HORIZON FINANCIAL GROUP & HORIZON FINANCIAL NETWORK INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 06/2025 POSITION/TITLE/RELATIONSHIP: COMPLIANCE OFFICER APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: REGISTERED ADMIN ASSISTANT
CRS (Client Relationship Summary) - RIA
Click below to view Gregory Powell's 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®
NoneExperience
Current
June 30, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #2: 15015 Jamestown Blvd Suite 100, Baton Rouge, LA 70810RIA
CRD#: 105644
Mundelein, IL
Current
June 9, 2025 - Present
CETERA ADVISORS LLC
Office #1: 15015 Jamestown Blvd Suite 100, Baton Rouge, LA 70810BD
CRD#: 10299
Baton Rouge, LA
Past
May 8, 2024 - April 29, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
DALLAS, TX
Past
November 12, 2020 - April 29, 2025
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
MUNDELEIN, IL
Past
August 18, 2020 - April 29, 2025
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
SCHAUMBURG, IL
Past
August 18, 2020 - April 29, 2025
CETERA FINANCIAL SPECIALISTS LLC
BD
CRD#: 10358
SAN DIEGO, CA
Past
August 18, 2020 - April 29, 2025
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
SCHAUMBURG, IL
Past
December 6, 2019 - April 29, 2025
CETERA ADVISORS LLC
BD
CRD#: 10299
SCHAUMBURG, IL
Past
July 3, 2013 - November 12, 2020
FIRST ALLIED ADVISORY SERVICES, INC.
RIA
CRD#: 137888
MUNDELEIN, IL
Past
October 24, 2012 - September 8, 2022
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
MUNDELEIN, IL
Past
June 14, 2006 - October 24, 2012
OGILVIE SECURITY ADVISORS CORPORATION
RIA
CRD#: 10105
CHICAGO, IL
Past
May 22, 2006 - October 24, 2012
OGILVIE SECURITY ADVISORS CORPORATION
BD
CRD#: 10105
CHICAGO, IL
Past
December 7, 1999 - May 23, 2006
WATERSTONE FINANCIAL GROUP, INC.
BD
CRD#: 10078
BOSTON, MA
Past
July 26, 1999 - May 30, 2006
HERITAGE CAPITAL MANAGEMENT INC
RIA
CRD#: 110383
SCHAUMBURG, IL
Past
January 25, 1984 - December 3, 1999
RESOURCE DEVELOPMENT INTERNATIONAL, LTD.
BD
CRD#: 8435
SCHAUMBURG, IL
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
Alabama(6/13/2025)
RR
Alaska(6/17/2025)
RR
Arizona(6/13/2025)
RR
Arkansas(6/18/2025)
RR
California(6/13/2025)
RR
Colorado(6/16/2025)
RR
Connecticut(6/12/2025)
RR
Delaware(6/14/2025)
RR
District of Columbia(6/16/2025)
RR
Florida(6/16/2025)
RR
Georgia(6/26/2025)
RR
Hawaii(7/25/2025)
RR
Idaho(6/12/2025)
RR
Illinois(6/13/2025)
IAR
Illinois(6/30/2025)
RR
Indiana(6/19/2025)
RR
Iowa(6/10/2025)
RR
Kansas(6/9/2025)
RR
Kentucky(6/16/2025)
RR
Louisiana(6/16/2025)
RR
Maine(6/16/2025)
RR
Maryland(6/27/2025)
RR
Massachusetts(6/10/2025)
RR
Michigan(6/16/2025)
RR
Minnesota(6/16/2025)
RR
Mississippi(6/18/2025)
RR
Missouri(6/11/2025)
RR
Montana(7/15/2025)
RR
Nebraska(6/16/2025)
RR
Nevada(6/13/2025)
RR
New Hampshire(6/18/2025)
RR
New Jersey(6/13/2025)
RR
New Mexico(6/16/2025)
RR
New York(6/15/2025)
RR
North Carolina(6/17/2025)
RR
North Dakota(6/20/2025)
RR
Ohio(6/17/2025)
RR
Oklahoma(6/16/2025)
RR
Oregon(6/17/2025)
RR
Pennsylvania(6/12/2025)
RR
Puerto Rico(6/17/2025)
RR
Rhode Island(6/16/2025)
RR
South Carolina(6/16/2025)
RR
South Dakota(6/16/2025)
RR
Tennessee(6/16/2025)
RR
Texas(6/10/2025)
IAR
Texas(7/2/2025)
RR
Utah(6/10/2025)
RR
Vermont(6/16/2025)
RR
Virgin Islands(6/16/2025)
RR
Virginia(6/14/2025)
RR
Washington(6/13/2025)
RR
West Virginia(6/18/2025)
RR
Wisconsin(6/16/2025)
RR
Wyoming(6/16/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
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
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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)
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 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
