DD
Dawn M. Dempsey-smerke
CETERA INVESTMENT ADVISERS LLC
AVON, OH 44011
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CRD#: 1682862
DD
Professional summary
Dawn Marie Dempsey-smerke, CFP®, who also goes by Dawn Marie Dempsey, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Avon, Ohio and CETERA ADVISORS LLC located in Avon, Ohio.
Dawn is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Dawn has worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dawn Marie Dempsey
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: DEMPSEY FINANCIAL SERVICES LLC, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: INVESTMENT & RETIREMENT STRATEGIES FOR INDIVIDUALS, BUSINESSES AND NON PROFITS, START DATE: 1996, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF TRADING HOURS PER WEEK: 32.5, POSITION/TITLE/RELATIONSHIP: OWNER, BRIEF DESCRIPTION OF DUTIES: GENERAL OWNERSHIP DUTIES; 2. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FIXED INSURANCE, START DATE: 2008, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF TRADING HOURS PER WEEK: 32.5, POSITION/TITLE/RELATIONSHIP: AGENT, BRIEF DESCRIPTION OF DUTIES: SELLING, HEALTH, LIFE, DISABILITY, ANNUITIES AND LONG TERM CARE INSURANCE; 3. NAME OF OTHER BUSINESS: DAWN M. DEMPSEY-SMERKE DBA DAWN M. DEMPSEY; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 2004; POSITION/TITLE/RELATIONSHIP: OWNER / FINANCIAL ADVISOR; APX NUMBER OF HOURS PER WEEK: 40 HOURS; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 HOURS; BRIEF DESCRIPTION OF DUTIES: DBA FOR SECURITIES BUSINESS. 4. NAME OF OTHER BUSINESS: WEALTH HEALTH, LLC, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 10/2024 , POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 35, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;
CRS (Client Relationship Summary) - RIA
Click below to view Dawn Marie Dempsey-smerke's 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®
Start date: 2005
Experience
Current
March 21, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 35651 Detroit Road, Avon, OH 44011RIA
CRD#: 105644
AVON, OH
Current
January 1, 2004 - Present
CETERA ADVISORS LLC
Office #1: 35651 Detroit Road, Avon, OH 44011BD
CRD#: 10299
Avon, OH
Past
December 19, 2005 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
BAY VILLAGE, OH
Past
June 20, 1996 - January 1, 2004
VESTAX SECURITIES CORPORATION
BD
CRD#: 10332
HUDSON, OH
Past
June 19, 1990 - June 29, 1996
INVESTACORP, INC.
BD
CRD#: 7684
MIAMI, FL
Past
June 1, 1988 - January 22, 1990
INVEST FINANCIAL CORPORATION
BD
CRD#: 12984
Past
June 24, 1987 - January 22, 1990
INVEST FINANCIAL CORPORATION
BD
CRD#: 12984
APPLETON, WI
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(8/4/2022)
RR
California(1/2/2020)
RR
District of Columbia(8/4/2022)
RR
Illinois(3/5/2019)
RR
Indiana(3/5/2019)
RR
Maryland(3/5/2019)
RR
Nevada(3/5/2019)
RR
North Carolina(7/24/2024)
RR
Ohio(3/5/2019)
IAR
Ohio(3/21/2024)
RR
Oregon(3/5/2019)
RR
Rhode Island(3/5/2019)
RR
South Carolina(4/30/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
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
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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)
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 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Avon, OH 44011TRUST BUT VERIFY
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