Robert S. Fagan

CETERA INVESTMENT ADVISERS LLC

San Diego, CA 92122

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CRD#: 1572927

Professional summary

Robert Stanley Fagan is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in San Diego, California and CETERA ADVISORS LLC located in Leucadia, California.

Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Robert has worked at 9 firms and has passed the Series 63, SIE, Series 62, Series 22 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.) PROACTIVE TAX SYSTEMS LLC; OWNER; NON-PCA ACCOUNTING AND/OR TAX PREPARATION; START DATE 09/10/2010; 8 HOURS PER MONTH. 2.) INSURNACE; AGENT; INSURNACE (FIXED/LIFE/HEALTH/P&C); 4 HOURS PER MONTH. 3.) NAME OF OTHER BUSINESS: WEALTH NAVIGATION ADVISORS; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 12/2021; 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 Robert Stanley Fagan'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

December 20, 2021 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 6265 Greenwich Dr Suite 251, San Diego, CA 92122

RIA

CRD#: 105644

San Diego, CA

Current

September 8, 2022 - Present

CETERA ADVISORS LLC

Office #2: 6265 Greenwich Drive Ste 251, San Diego, CA 92122

CRD#: 10299

LEUCADIA, CA

Past

December 20, 2021 - September 8, 2022

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

SAN DIEGO, CA

Past

March 25, 2009 - December 22, 2021

MADISON AVENUE SECURITIES, LLC

RIA

CRD#: 23224

ENCINITAS, CA

Past

July 25, 2006 - March 25, 2009

MADISON AVENUE ADVISORS, INC.

RIA

CRD#: 137461

ENCINITAS, CA

Past

July 25, 2006 - December 22, 2021

MADISON AVENUE SECURITIES, LLC

CRD#: 23224

ENCINITAS, CA

Past

October 8, 2003 - August 1, 2006

USALLIANZ SECURITIES, INC.

CRD#: 40875

ENCINITAS, CA

Past

August 11, 1998 - October 20, 2003

SII INVESTMENTS, INC.

CRD#: 2225

APPLETON, WI

Past

December 9, 1997 - August 27, 1998

EQUITY PROGRAMS CORPORATION

CRD#: 6100

SAN DIEGO, CA

Past

March 4, 1997 - December 31, 1997

SII INVESTMENTS, INC.

CRD#: 2225

APPLETON, WI

Past

February 9, 1995 - August 21, 1996

FORESTERS EQUITY SERVICES, INC.

CRD#: 18464

SAN DIEGO, CA

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
(9/8/2022)

IAR

California
(12/20/2021)

California
(9/8/2022)

Colorado
(9/8/2022)

Florida
(9/8/2022)

Maine
(9/8/2022)

Nevada
(9/8/2022)

New Hampshire
(10/30/2023)

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

Series 63

Date: 8/30/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 62

Date: 7/10/2008

Corporate Securities Limited Representative Examination

General Industry/Product Exam

Series 22

Date: 2/13/2007

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 5/17/1991

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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Firm Stability Insights

Robert S. Fagan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Stanley Fagan's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA ADVISORS LLC

FIRST ALLIED SECURITIES, INC.

MADISON AVENUE SECURITIES, LLC

MADISON AVENUE ADVISORS, INC.

MADISON AVENUE SECURITIES, LLC

USALLIANZ SECURITIES, INC.

SII INVESTMENTS, INC.

EQUITY PROGRAMS CORPORATION

SII INVESTMENTS, INC.

FORESTERS EQUITY SERVICES, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 8/30/1995

SIE

Date: 10/1/2018

Series 62

Date: 7/10/2008

Series 22

Date: 2/13/2007

Series 6

Date: 5/17/1991

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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