Julie M. Papacek

CETERA INVESTMENT ADVISERS LLC

BROOMFIELD, CO 80020

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CRD#: 1241257

Professional summary

Julie Marie Papacek, who also goes by Julie Marie Gardalen, Julie Marie Mattingly, Julie Marie Papacedk, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Broomfield, Colorado and CETERA ADVISORS LLC located in San Diego, California.

Julie is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Julie has worked at 13 firms and has passed the Series 66, Series 63, Series 52TO, Series 57TO, SIE, Series 55, Series 7, Series 4, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Julie Marie Gardalen | Julie Marie Mattingly | Julie Marie Papacedk

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 Julie Marie Papacek'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

October 18, 2012 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 3268 W. 11th Avenue Place, Broomfield, CO 80020

RIA

CRD#: 105644

BROOMFIELD, CO

Current

August 26, 2002 - Present

CETERA ADVISORS LLC

Office #1: 655 W Broadway12th Fl, San Diego, CA 92101

CRD#: 10299

SAN DIEGO, CA

Current

November 16, 2012 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 655 W Broadway12th Fl, San Diego, CA 92101

CRD#: 15340

SAN DIEGO, CA

Current

January 11, 2013 - Present

CETERA FINANCIAL SPECIALISTS LLC

Office #1: 655 W Broadway12th Fl, San Diego, CA 92101

CRD#: 10358

SAN DIEGO, CA

Current

March 6, 2013 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 655 W Broadway12th Fl, San Diego, CA 92101

CRD#: 13572

SAN DIEGO, CA

Past

April 13, 2020 - September 8, 2022

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

SAN DIEGO, CA

Past

November 16, 2012 - January 7, 2014

CETERA INVESTMENT SERVICES LLC

RIA

CRD#: 15340

ST CLOUD, MN

Past

November 16, 2012 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

BROOMFIELD, CO

Past

January 7, 2003 - March 21, 2024

CETERA ADVISORS LLC

RIA

CRD#: 10299

ROCKWALL, TX

Past

September 26, 2002 - December 31, 2003

VESTAX SECURITIES CORPORATION

CRD#: 10332

HUDSON, OH

Past

August 26, 2002 - December 31, 2003

IFG NETWORK SECURITIES, INC.

CRD#: 19948

ATLANTA, GA

Past

September 1, 2001 - October 18, 2001

NF CLEARING, INC.

CRD#: 14285

PHILADELPHIA, PA

Past

September 30, 1994 - September 1, 2001

FISERV CORRESPONDENT SERVICES, INC.

CRD#: 29273

DENVER, CO

Past

February 2, 1994 - October 10, 1994

HANIFEN, IMHOFF INC.

CRD#: 2126

DENVER, CO

Past

May 19, 1992 - April 13, 1994

MONTGOMERY SECURITIES

CRD#: 4357

SAN FRANCISCO, CA

Past

December 2, 1985 - February 3, 1992

HANIFEN, IMHOFF INC.

CRD#: 2126

DENVER, CO

Past

February 21, 1985 - December 20, 1985

DAIN RAUSCHER INCORPORATED

CRD#: 7600

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
(8/26/2002)

Alaska
(8/26/2002)

Arizona
(8/26/2002)

Arkansas
(8/26/2002)

California
(8/26/2002)

Colorado
(8/26/2002)

IAR

Colorado
(10/18/2012)

Connecticut
(8/26/2002)

Delaware
(8/26/2002)

District of Columbia
(8/26/2002)

Florida
(8/26/2002)

Georgia
(8/26/2002)

Hawaii
(8/26/2002)

Idaho
(8/26/2002)

Illinois
(8/26/2002)

Indiana
(8/26/2002)

Iowa
(8/26/2002)

Kansas
(8/26/2002)

Kentucky
(9/16/2003)

Louisiana
(8/26/2002)

Maine
(8/26/2002)

Maryland
(8/26/2002)

Massachusetts
(8/26/2002)

Michigan
(8/26/2002)

Minnesota
(8/26/2002)

Mississippi
(8/26/2002)

Missouri
(8/26/2002)

Montana
(8/26/2002)

Nebraska
(8/26/2002)

Nevada
(8/26/2002)

New Hampshire
(8/26/2002)

New Jersey
(8/26/2002)

New Mexico
(8/26/2002)

New York
(8/26/2002)

North Carolina
(8/26/2002)

North Dakota
(8/26/2002)

Ohio
(8/26/2002)

Oklahoma
(8/26/2002)

Oregon
(8/26/2002)

Pennsylvania
(8/26/2002)

Puerto Rico
(6/27/2013)

Rhode Island
(8/26/2002)

South Carolina
(8/26/2002)

South Dakota
(8/26/2002)

Tennessee
(8/26/2002)

Texas
(8/26/2002)

IAR

Texas
(1/12/2023)

Utah
(8/26/2002)

Vermont
(8/27/2002)

Virgin Islands
(2/17/2009)

Virginia
(8/26/2002)

Washington
(8/26/2002)

West Virginia
(8/26/2002)

Wisconsin
(8/26/2002)

Wyoming
(8/26/2002)

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: 12/23/2002

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 6/22/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 4/8/2000

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 2/16/1985

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 4/9/2004

Registered Options Principal Examination

Principal/Supervisory Exam

Series 53

Date: 3/7/2003

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 6/26/1996

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

Julie M. Papacek

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Julie Marie Papacek's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA ADVISORS LLC

CETERA INVESTMENT SERVICES LLC

CETERA FINANCIAL SPECIALISTS LLC

CETERA WEALTH SERVICES, LLC

FIRST ALLIED SECURITIES, INC.

CETERA INVESTMENT SERVICES LLC

CETERA WEALTH SERVICES, LLC

CETERA ADVISORS LLC

VESTAX SECURITIES CORPORATION

IFG NETWORK SECURITIES, INC.

NF CLEARING, INC.

FISERV CORRESPONDENT SERVICES, INC.

HANIFEN, IMHOFF INC.

MONTGOMERY SECURITIES

HANIFEN, IMHOFF INC.

DAIN RAUSCHER INCORPORATED

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/23/2002

Series 63

Date: 6/22/1992

Series 52TO

Date: 1/2/2023

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 4/8/2000

Series 7

Date: 2/16/1985

Series 4

Date: 4/9/2004

Series 53

Date: 3/7/2003

Series 24

Date: 6/26/1996

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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