Arthur W. Macgregor

CETERA INVESTMENT ADVISERS LLC

DOVER, NH 03820

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CRD#: 1667620

Professional summary

Arthur William Macgregor JR, who also goes by Arthur William (jr) Macgregor, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Dover, New Hampshire and CETERA INVESTMENT SERVICES LLC located in Dover, New Hampshire.

Arthur is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Arthur has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Arthur William (jr) Macgregor

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Arthur William Macgregor 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®

None

Experience

Current

January 24, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 9 Members Way, Dover, NH 03820

RIA

CRD#: 105644

DOVER, NH

Current

January 24, 2025 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 9 Members Way, Dover, NH 03820Office #2: 694 Columbus Avenue, Rochester, NH 03867Office #3: 730 Main Street, Berlin, NH 03570Office #4: 199 White Mountain Highway, Conway, NH 03818Office #5: 1 South Main Street, Concord, NH 03301Office #6: 341 Highland Street, Plymouth, NH 03264

CRD#: 15340

DOVER, NH

Past

January 17, 2008 - March 4, 2025

LPL FINANCIAL LLC

RIA

CRD#: 6413

PORTSMOUTH, NH

Past

October 4, 2007 - March 4, 2025

LPL FINANCIAL LLC

CRD#: 6413

PORTSMOUTH, NH

Past

September 13, 2006 - September 12, 2007

SECU BROKERAGE SERVICES

RIA

CRD#: 19899

EXETER, NH

Past

March 13, 2002 - October 4, 2007

BTS ASSET MANAGEMENT, INC.

RIA

CRD#: 105215

EXETER, NH

Past

November 30, 1999 - September 12, 2007

SECU BROKERAGE SERVICES

CRD#: 19899

EXETER, NH

Past

July 29, 1996 - December 16, 1999

NYLIFE SECURITIES LLC

CRD#: 5167

NEW YORK, NY

Past

May 1, 1987 - July 15, 1996

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

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

Colorado
(6/9/2025)

Connecticut
(1/24/2025)

Florida
(1/24/2025)

Georgia
(1/24/2025)

Maine
(1/24/2025)

Maryland
(1/24/2025)

Massachusetts
(1/24/2025)

New Hampshire
(1/24/2025)

IAR

New Hampshire
(1/24/2025)

New York
(1/24/2025)

North Carolina
(3/31/2025)

Ohio
(1/27/2025)

South Carolina
(1/24/2025)

Texas
(1/24/2025)

IAR

Texas
(1/25/2025)

Vermont
(1/24/2025)

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: 8/7/2001

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 5/14/1987

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: 12/19/2000

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/30/1987

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/24/2002

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

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.

Contact information

xxxxx@xxxx.xxx

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Firm Stability Insights

Arthur W. Macgregor

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Arthur William Macgregor JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

SECU BROKERAGE SERVICES

BTS ASSET MANAGEMENT, INC.

SECU BROKERAGE SERVICES

NYLIFE SECURITIES LLC

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/7/2001

Series 63

Date: 5/14/1987

SIE

Date: 10/1/2018

Series 7

Date: 12/19/2000

Series 6

Date: 4/30/1987

Series 24

Date: 9/24/2002

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

Contact information

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