CM
Charles W. Mccoy
CETERA INVESTMENT ADVISERS LLC
STEUBENVILLE, OH 43952
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CRD#: 1310186
CM
Professional summary
Charles Wilber Mccoy II, who also goes by Charles W Mccoy II, Charles W Mccoy, Charles Mccoy, Chuck W Mccoy, Chuck Mccoy, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Steubenville, Ohio and CETERA WEALTH SERVICES, LLC located in East Liverpool, Ohio.
Charles is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Charles has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Charles W Mccoy Ii | Charles W Mccoy | Charles Mccoy | Chuck W Mccoy | Chuck Mccoy
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: FIXED INSURANCE WITH VARIOUS COMPANIES
INVESTMENT RELATED: YES
ADDRESS: SAME AS REGISTERED LOCATION
NATURE OF BUSINESS: FIXED INSURANCE
START DATE: 01/2015
APX NUMBER OF HOURS PER WEEK: VARIES
APX NUMBER OF HOURS DURING TRADING HOURS: VARIES
POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT
BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, ANNUITIES AND LONG TERM CARE
2. NAME OF OTHER BUSINESS: TRI-STATE FINANCIAL SERVICES
INVESTMENT RELATED: YES
ADDRESS: SAME AS REGISTERED LOCATION
NATURE OF BUSINESS: INSURANCE SERVICES
START DATE: 01/2015
APX NUMBER OF HOURS PER WEEK: 5
APX NUMBER OF HOURS DURING TRADING HOURS: 5
BRIEF DESCRIPTION OF DUTIES: SALE OF INSURANCE PRODUCTS
CRS (Client Relationship Summary) - RIA
Click below to view Charles Wilber Mccoy II'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 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 255 N 3rd St, Steubenville, OH 43952RIA
CRD#: 105644
STEUBENVILLE, OH
Current
May 1, 2015 - Present
CETERA WEALTH SERVICES, LLC
Office #2: 255 N 3rd St, Steubenville, OH 43952BD
CRD#: 13572
EAST LIVERPOOL, OH
Past
May 26, 2015 - February 28, 2018
SECURITIES BROKERAGE SERVICES
RIA
CRD#: 119861
EAST LIVERPOOL, OH
Past
May 4, 2015 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
CARNEGIE, PA
Past
July 29, 2003 - May 6, 2015
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
EAST LIVERPOOL, OH
Past
June 24, 1987 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
June 24, 1987 - May 6, 2015
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
EAST LIVERPOOL, OH
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
Florida(8/31/2018)
RR
Kentucky(3/24/2023)
RR
North Carolina(3/14/2017)
RR
Ohio(5/4/2015)
IAR
Ohio(6/29/2023)
RR
Pennsylvania(5/1/2015)
RR
West Virginia(5/1/2015)
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
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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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Steubenville, OH 43952TRUST BUT VERIFY
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