Stuart N. Speer

CETERA INVESTMENT ADVISERS LLC

LENEXA, KS 66215

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CRD#: 1432929

Professional summary

Stuart Nelsen Speer, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Lenexa, Kansas and CETERA ADVISORS LLC located in Roeland Park, Kansas.

Stuart is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Stuart has worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 51 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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. STUART N. SPEER CFP/RETIREMENT & INVESTMENT SOLUTIONS, INC, FIXED INSURANCE AND SECURITIES BUSINESS, START 1/04/2000, ADDRESS SAME AS OFFICE, 15 HR/WK, 50K IN COMMISSIONS 2. COLLEGE PROFESSOR, PARK UNIVERSITY, 27K SALARY, START 04/07/2001, PARK UNIVERSITY PARKVILLE MO 64120, 8 HR/WK 3. MAGAZINE ARTICLE CONTRIBUTOR, VACIOUS MEDIA OUTLETS, START 1/04/1987, 1-2 HR/WK, NO COMPENSATION

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stuart Nelsen Speer'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

Experience

Current

March 21, 2024 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 8760 Monrovia St, Lenexa, KS 66215

RIA

CRD#: 105644

LENEXA, KS

Current

June 29, 2012 - Present

CETERA ADVISORS LLC

Office #1: 5112 Rosewood Dr, Roeland Park, KS 66205

CRD#: 10299

Roeland Park, KS

Past

June 29, 2012 - March 21, 2024

CETERA ADVISORS LLC

RIA

CRD#: 10299

GREENWOOD VILLAGE, IL

Past

October 26, 2006 - July 3, 2012

AMERITAS INVESTMENT COMPANY, LLC

RIA

CRD#: 14869

KANSAS CITY, MO

Past

May 17, 2005 - July 3, 2012

AMERITAS INVESTMENT COMPANY, LLC

CRD#: 14869

KANSAS CITY, MO

Past

March 19, 2004 - November 30, 2004

PRINCIPAL SECURITIES, INC.

CRD#: 1137

DES MOINES, IA

Past

March 21, 2003 - October 8, 2003

NYLIFE SECURITIES LLC

CRD#: 5167

NEW YORK, NY

Past

October 2, 2001 - November 20, 2002

LEGACY FINANCIAL GROUP, INC.

RIA

CRD#: 113885

ROSELAND, KS

Past

August 27, 2001 - March 11, 2003

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

Past

June 3, 1986 - October 27, 1987

VSR FINANCIAL SERVICES, INC.

CRD#: 14503

Past

November 20, 1985 - June 6, 1986

THE CAREY COMPANY

CRD#: 13663

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
(12/3/2019)

Georgia
(9/22/2020)

Indiana
(11/4/2019)

Kansas
(6/29/2012)

IAR

Kansas
(3/21/2024)

Maine
(10/10/2023)

Minnesota
(7/29/2022)

Missouri
(7/3/2012)

Nebraska
(7/27/2023)

Oklahoma
(3/4/2021)

Oregon
(2/4/2020)

Texas
(5/7/2020)

IAR

Texas
(3/21/2024)

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: 9/22/2006

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 12/6/1985

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: 8/23/2001

General Securities Representative Examination

Principal/Supervisory Exam

Series 51

Date: 8/15/2005

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 8/1/2005

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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Firm Stability Insights

Stuart N. Speer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stuart Nelsen Speer's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA ADVISORS LLC

CETERA ADVISORS LLC

AMERITAS INVESTMENT COMPANY, LLC

AMERITAS INVESTMENT COMPANY, LLC

PRINCIPAL SECURITIES, INC.

NYLIFE SECURITIES LLC

LEGACY FINANCIAL GROUP, INC.

MML INVESTORS SERVICES, LLC

VSR FINANCIAL SERVICES, INC.

THE CAREY COMPANY

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/22/2006

Series 63

Date: 12/6/1985

SIE

Date: 10/1/2018

Series 7

Date: 8/23/2001

Series 51

Date: 8/15/2005

Series 24

Date: 8/1/2005

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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