Penn W. Rettig

CETERA INVESTMENT ADVISERS LLC

EUGENE, OR 97401

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CRD#: 1274789

Professional summary

Penn Warren Rettig II, CFP®, who also goes by Penn Warren Rettig, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Eugene, Oregon and CETERA ADVISORS LLC located in Eugene, Oregon.

Penn is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Penn has worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Penn Warren Rettig

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. FIXED INSURANCE AGENT 2. RENAISSANCE INC, NOT INVESTMENT RELATED, 6100 W 98TH STREET, SUITE 100, INDIANAPOLIS, IN 46278, CO-GRANT ADVISOR - DONOR ADVISED FUND, START JUNE 2014, LESS THAN 1 HOUR PER WEEK - VARIES DURING TRADING HOURS, ASSIST CLIENTS AND THEIR CHILDREN IN IDENTIFYING WORTHY GRANT RECIPIENTS. 3. NAME OF OTHER BUSINESS: PENNTUNES; INVESTMENT RELATED: NO; ADDRESS: SAME AS RESIDENTIAL LOCATION; NATURE OF BUSINESS: MUSIC AND SONGWRITING; START DATE: 05/2024; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 3-10; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: SINGER, SONGWRITER AND MASTER GUITARIST;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Penn Warren Rettig II'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: 1988

Experience

Current

March 21, 2024 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 66 Club Rd Suite #200, Eugene, OR 97401

RIA

CRD#: 105644

EUGENE, OR

Current

December 8, 2003 - Present

CETERA ADVISORS LLC

Office #2: 66 Club Rd Suite #200, Eugene, OR 97401

CRD#: 10299

EUGENE, OR

Past

December 8, 2003 - March 21, 2024

CETERA ADVISORS LLC

RIA

CRD#: 10299

GREENWOOD VILLAGE, IL

Past

June 27, 2002 - December 9, 2003

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

EUGENE, OR

Past

January 2, 1990 - December 9, 2003

CETERA WEALTH SERVICES, LLC

CRD#: 13572

EL SEGUNDO, CA

Past

November 19, 1989 - January 18, 1990

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

May 3, 1988 - November 19, 1989

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Past

June 20, 1984 - December 24, 1986

AMERICAN EXPRESS FINANCIAL CORPORATION

CRD#: 6320

Past

June 20, 1984 - May 20, 1988

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

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

Arizona
(7/21/2023)

California
(12/8/2003)

Illinois
(10/7/2016)

Indiana
(12/18/2014)

Oregon
(12/8/2003)

IAR

Oregon
(3/21/2024)

Wisconsin
(9/29/2023)

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

Series 63

Date: 9/1/1988

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: 6/16/1984

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/17/1995

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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Penn W. Rettig

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Penn Warren Rettig II's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA ADVISORS LLC

CETERA ADVISORS LLC

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

OSAIC WEALTH, INC.

INTEGRATED RESOURCES EQUITY CORPORATION

AMERICAN EXPRESS FINANCIAL CORPORATION

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 9/1/1988

SIE

Date: 10/1/2018

Series 7

Date: 6/16/1984

Series 24

Date: 2/17/1995

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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