CL
Colin R. Leisy
CETERA INVESTMENT ADVISERS LLC
WILSON, NC 27896
Some features on this profile are disabled
CRD#: 1270224
CL
Professional summary
Colin Robert Leisy, CFP®, who also goes by Colin R Leisy, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Wilson, North Carolina and CETERA WEALTH SERVICES, LLC located in Wilson, North Carolina.
Colin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Colin has worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Colin R Leisy
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) The Tax Corps, LTD 2810 Fieldstream Dr N~Wilson~NC~27896~Tax Preparation/Accounting~President~8/1/2001~200hrs~200hrs~Tax prep, bookkeeping & payroll services, consulting services 2) Colin and Susan Leisy owned Office Building 2810 Fieldstream Drive~Wilson~NC~27896~Rental Property~Owner~1/17/2002~0hrs~0hrs~None. The bank bill pay system is set up to automatically transfer rent to personal account and then to pay the mortgage from the personal account. 3) DELORES V LEISY LIVING TRUST DATED FEBRUARY 26 2006 POSITION: trustee NATURE: This trust holds the assets of the Delores V Leisy Living Trust which includes a house, bank accounts and a brokerage account. Primary activity will be to distribute the trusts assets to the 3 beneficiaries which include myself and 2 siblings. INVESTMENT RELATED: Yes NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 2 START DATE: 02/15/2022 ADDRESS: 2810 Fieldstream Dr N, Wilson NC 27896, United States DESCRIPTION: 1. Make certain all assets are collected into the trust2. Get valuations on art and collectables3. Liquidate any assets not specifically wanted by beneficiaries4. Transfer assets to beneficiaries according to the trusts requirements5. Prepare the tax return for and close out the trust. 4) ACTIVE PLANNING AND INVESTMENT SOLUTIONS POSITION: Owner NATURE: This is the DBA reported and approved in 2019 for my advisory, financial planning?I and products business that I have been doing with Avantax and prior with HD Vest since 2007. INVESTMENT RELATED: No NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 40 START DATE: 08/15/2019 ADDRESS: 2810 Fieldstream Dr N, Wilson NC 27896, United States DESCRIPTION: I manage the financial assets of my clients primarily through advisory but including some insurance, annuity, and investment sales
CRS (Client Relationship Summary) - RIA
Click below to view Colin Robert Leisy'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®
CFP®
Start date: 2011
Experience
Current
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 2810 Fieldstream Dr N, Wilson, NC 27896RIA
CRD#: 105644
WILSON, NC
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 2810 Fieldstream Dr N, Wilson, NC 27896BD
CRD#: 13572
WILSON, NC
Past
June 16, 2008 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
WILSON, NC
Past
August 29, 2007 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
WILSON, NC
Past
November 7, 1989 - March 14, 1990
MORGAN STANLEY DW INC.
BD
CRD#: 7556
Past
February 15, 1989 - May 25, 1989
INVESTACORP, INC.
BD
CRD#: 7684
Past
September 28, 1988 - February 24, 1989
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
Past
September 28, 1988 - February 24, 1989
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
Past
July 21, 1984 - August 30, 1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
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
California(9/5/2025)
RR
Louisiana(9/5/2025)
RR
Maryland(9/5/2025)
RR
Massachusetts(9/5/2025)
RR
North Carolina(9/5/2025)
IAR
North Carolina(9/5/2025)
RR
Oregon(9/5/2025)
RR
South Carolina(9/5/2025)
RR
Texas(9/5/2025)
IAR
Texas(9/5/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Wilson, NC 27896TRUST BUT VERIFY
Monitor Colin Leisy
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
