Ronald W. Ellsworth

CETERA INVESTMENT ADVISERS LLC

ROSEBURG, OR 97470

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CRD#: 1488310

Professional summary

Ronald Wayne Ellsworth is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Roseburg, Oregon and CETERA ADVISORS LLC located in Roseburg, Oregon.

Ronald is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Ronald has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 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) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FIXED INSURANCE, START DATE: 03/2024, 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, AND LONG-TERM CARE; 2) NAME OF OTHER BUSINESS: FOSTER & ASSOCIATES, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 1999, POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ronald Wayne Ellsworth'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®

None

Experience

Current

March 21, 2024 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 1225 W. Harvard Avenue, Roseburg, OR 97470

RIA

CRD#: 105644

ROSEBURG, OR

Current

October 24, 2011 - Present

CETERA ADVISORS LLC

Office #1: 1225 W. Harvard Avenue, Roseburg, OR 97470

CRD#: 10299

ROSEBURG, OR

Past

June 21, 2012 - March 21, 2024

CETERA ADVISORS LLC

RIA

CRD#: 10299

GREENWOOD VILLAGE, IL

Past

January 23, 2009 - October 24, 2011

SECURITIES AMERICA, INC.

CRD#: 10205

ROSEBURG, OR

Past

April 7, 1999 - January 23, 2009

BRECEK & YOUNG ADVISORS, INC.

CRD#: 40395

ROSEBURG, OR

Past

December 12, 1996 - April 30, 1999

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

FORT WAYNE, IN

Past

December 12, 1996 - April 30, 1999

OSAIC FA, INC.

CRD#: 3978

FORT WAYNE, IN

Past

September 25, 1995 - December 20, 1996

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

PHILADELPHIA, PA

Past

February 17, 1995 - August 7, 1995

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

Past

September 12, 1986 - August 22, 1988

GREEN HILL FINANCIAL SERVICE CORPORATION

CRD#: 4882

Past

July 15, 1986 - September 11, 1986

BMA FINANCIAL SERVICES, INC.

CRD#: 7943

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

Alaska
(11/29/2021)

Arizona
(1/3/2024)

California
(1/23/2025)

Florida
(11/15/2023)

Idaho
(1/4/2017)

Indiana
(8/5/2025)

Oregon
(10/24/2011)

IAR

Oregon
(3/21/2024)

Washington
(11/27/2024)

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 65

Date: 6/11/2012

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/17/1995

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: 5/22/2012

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 1/17/1995

Investment Company Products/Variable Contracts Representative 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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Ronald W. Ellsworth

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ronald Wayne Ellsworth's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA ADVISORS LLC

CETERA ADVISORS LLC

SECURITIES AMERICA, INC.

BRECEK & YOUNG ADVISORS, INC.

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

OSAIC FA, INC.

TRANSAMERICA FINANCIAL ADVISORS, LLC

PRUCO SECURITIES, LLC.

GREEN HILL FINANCIAL SERVICE CORPORATION

BMA FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/11/2012

Series 63

Date: 1/17/1995

SIE

Date: 10/1/2018

Series 7

Date: 5/22/2012

Series 6

Date: 1/17/1995

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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