AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
RB

Robert L. Basham

CETERA INVESTMENT ADVISERS LLC
MIDLOTHIAN, VA 23113
Some features on this profile are disabled
CRD#: 1435353
RB

Professional summary

Robert Lee Basham Jr, AIF®, who also goes by Bob Basham, Robert L. Basham, Robert Lee Basham Jr, Robert Basham, Robert L Basham Jr., Robert Lee Basham, Robert Basham Jr., is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Midlothian, Virginia and CETERA WEALTH SERVICES, LLC located in Midlothian, Virginia.

Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Robert has worked at 11 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Bob Basham | Robert L. Basham | Robert Lee Basham Jr | Robert Basham | Robert L Basham Jr. | Robert Lee Basham | Robert Basham Jr.

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.
CITIZENS TRANSPORTATION ADVISORY COMMITTEE POSITION: Advisory Board NATURE: Board Member INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 3 START DATE: 01/01/2005 ADDRESS: , Richmond VA , United States DESCRIPTION: Advisory Board VAM FIXED INSURANCE POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 03/01/2018 ADDRESS: , Midlothian VA , United States DESCRIPTION: Agent/Broker NAME OF OTHER BUSINESS: VIRGINIA ASSET MANAGEMENT INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 03/2018 POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: OFFER SECURITIES, ADVISORY AND INSURANCE SERVICES

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Lee Basham Jr'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

Experience

Current

August 10, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 130 Wylderose Dr, Midlothian, VA 23113
RIA
CRD#: 105644
MIDLOTHIAN, VA
Current

August 10, 2023 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 130 Wylderose Drive, Midlothian, VA 23113
BD
CRD#: 13572
Midlothian, VA
Past

March 13, 2018 - August 10, 2023

SECURIAN FINANCIAL SERVICES, INC.

RIA
CRD#: 15296
MIDLOTHIAN, VA
Past

March 13, 2018 - August 10, 2023

SECURIAN FINANCIAL SERVICES, INC.

BD
CRD#: 15296
MIDLOTHIAN, VA
Past

March 25, 2017 - March 6, 2018

MML INVESTORS SERVICES, LLC

RIA
CRD#: 10409
RICHMOND, VA
Past

March 25, 2017 - March 6, 2018

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
RICHMOND, VA
Past

February 12, 2010 - March 25, 2017

MSI FINANCIAL SERVICES, INC.

RIA
CRD#: 14251
RICHMOND, VA
Past

February 3, 2010 - March 25, 2017

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
RICHMOND, VA
Past

May 12, 2004 - February 12, 2010

EQUITABLE ADVISORS, LLC

RIA
CRD#: 6627
RICHMOND, VA
Past

April 26, 2004 - February 12, 2010

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
RICHMOND, VA
Past

August 22, 2002 - May 6, 2004

PRUCO SECURITIES, LLC.

RIA
CRD#: 5685
GLEN ALLEN, VA
Past

July 24, 1996 - May 6, 2004

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
NEWARK, NJ
Past

November 21, 1990 - July 15, 1996

GUARDIAN INVESTOR SERVICES LLC

BD
CRD#: 6635
NEW YORK, NY
Past

May 16, 1988 - February 23, 1989

F.N. WOLF & CO., INC.

BD
CRD#: 13051
Past

February 2, 1987 - May 19, 1988

SHERWOOD CAPITAL, INC.

BD
CRD#: 10474
Past

January 21, 1986 - January 31, 1987

FIRST JERSEY SECURITIES, INC.

BD
CRD#: 6621

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
Arizona
(8/10/2023)
RR
Florida
(3/14/2025)
RR
Hawaii
(5/6/2025)
RR
Maryland
(1/10/2024)
RR
Nevada
(8/10/2023)
RR
North Carolina
(8/10/2023)
RR
Texas
(8/10/2023)
IAR
Texas
(8/10/2023)
RR
Virginia
(8/10/2023)
IAR
Virginia
(8/10/2023)
RR
West Virginia
(8/10/2023)

Exams

State Security Law Exam
IAR
Series 65
Date: 2/18/2002
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/27/1985
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/18/1986
General Securities Representative Examination
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Regulatory assets under management

Total Number of Accounts584,487
AUM (Assets Under Management)$ 163,792,814,520

Accountant surprise examination report

Filing DateForm ADV-E CoverForm 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.

Company Information

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644Midlothian, VA 23113

TRUST BUT VERIFY

Monitor Robert Basham

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Karen Anne Jones
Karen JonesAdvisorCheck Check Mark
AMERIPRISE FINANCIAL SERVICES, LLC
IAR
RR
Richmond, VA
JM
Joseph McveyAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Powhatan, VA
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics