Michael C. Wittenberg

CETERA INVESTMENT ADVISERS LLC

WINSTON-SALEM, NC 27103

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CRD#: 1300929

Professional summary

Michael Charles Wittenberg, AIF®, CFP®, ChFC®, CLU®, who also goes by Mike Wittenberg, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Winston-salem, North Carolina and CETERA ADVISORS LLC located in Winston-salem, North Carolina.

Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Michael has worked at 6 firms and has passed the Series 66, Series 65, Series 63, Series 99TO, SIE, Series 3, Series 7, Series 4, Series 51 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Mike Wittenberg

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.)FINRA; ARBITRATOR/EXPERT WITNESS 2.)INSTRUCTOR AT FORSYTH TECHNICAL COMMUNITY COLLEGE; EDUCATION/TEACHING. 3.)WITTENBERG, PRIDDY, BLANKENSHIP; INSURANCE (FIXED/LIFE/HEALTH/P&C) 4.)WITTENBERG, PRIDDY, BLANKENSHIP; DBA. 5.)BOOK - ARE YOU READY? SUBTITLE "PROTECTING AND PREPARING YOUR FAMILY FOR ESTATE ISSUES BEFORE AND AFTER DEATH". AUTHOR; AUTHOR,SPEAKER,ENTERTAINER/MEDIA CONTRIBUTOR; START DATE 07/01/2019; 4 HOURS PER MONTH;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Charles Wittenberg'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®

AIF^®

Accredited Investment Fiduciary

CFP^®

Certified Financial Planner

Start date: 2006

ChFC^®

Chartered Financial Consultant

CLU^®

Chartered Life Underwriter

Experience

Current

November 12, 2020 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 2990 Bethesda Place Suite #606b, Winston-salem, NC 27103

RIA

CRD#: 105644

WINSTON-SALEM, NC

Current

September 8, 2022 - Present

CETERA ADVISORS LLC

Office #1: 2990 Bethesda Place Suite #606b, Winston-salem, NC 27103

CRD#: 10299

Winston-salem, NC

Past

November 25, 2015 - November 12, 2020

FIRST ALLIED ADVISORY SERVICES, INC.

RIA

CRD#: 137888

Winston-Salem, NC

Past

July 2, 2012 - June 3, 2014

FIRST ALLIED ADVISORY SERVICES, INC.

RIA

CRD#: 137888

WINSTON-SALEM, NC

Past

December 20, 2001 - July 2, 2012

FIRST ALLIED SECURITIES, INC.

RIA

CRD#: 32444

WINSTON-SALEM, NC

Past

September 29, 2000 - September 8, 2022

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

WINSTON-SALEM, NC

Past

July 13, 1999 - October 26, 2000

D.E. FREY & COMPANY, INC.

CRD#: 23595

DENVER, CO

Past

September 25, 1984 - July 16, 1999

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

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

Colorado
(9/8/2022)

Florida
(9/8/2022)

Georgia
(9/8/2022)

Indiana
(9/8/2022)

Kentucky
(9/8/2022)

Minnesota
(9/8/2022)

IAR

North Carolina
(11/12/2020)

North Carolina
(9/8/2022)

Ohio
(9/8/2022)

Pennsylvania
(9/8/2022)

South Carolina
(9/8/2022)

Virginia
(9/8/2022)

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: 9/4/2001

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 9/21/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/20/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 8/18/1986

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 9/15/1984

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 7/21/2006

Registered Options Principal Examination

Principal/Supervisory Exam

Series 51

Date: 1/5/2004

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 11/23/1999

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

Michael C. Wittenberg

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Charles Wittenberg's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA ADVISORS LLC

FIRST ALLIED ADVISORY SERVICES, INC.

FIRST ALLIED ADVISORY SERVICES, INC.

FIRST ALLIED SECURITIES, INC.

FIRST ALLIED SECURITIES, INC.

D.E. FREY & COMPANY, INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/4/2001

Series 65

Date: 9/21/1994

Series 63

Date: 9/20/1984

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 3

Date: 8/18/1986

Series 7

Date: 9/15/1984

Series 4

Date: 7/21/2006

Series 51

Date: 1/5/2004

Series 24

Date: 11/23/1999

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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