Theodore F. Staats

SECURITIES BROKERAGE SERVICES

CARNEGIE, PA 15106-2427

CRD#: 1691770

Some features on this profile are disabled

Professional summary

Theodore Francis Staats III is a registered financial advisor currently at SECURITIES BROKERAGE SERVICES located in Carnegie, Pennsylvania and CETERA INVESTMENT ADVISERS LLC located in Pittsburgh, Pennsylvania.

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

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Theodore Francis Staats III'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

August 18, 2020 - Present

SECURITIES BROKERAGE SERVICES

Office #1: 101 West Main Street #104, Carnegie, PA 15106-2427

RIA

CRD#: 119861

CARNEGIE, PA

Current

June 29, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 603 Stanwix St Ste 1200, Pittsburgh, PA 15222

RIA

CRD#: 105644

PITTSBURGH, PA

Current

August 14, 2020 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 37 Mcmurray Road, Bldg 2 Ste 2104, Pittsburgh, PA 15241

CRD#: 13572

PITTSBURGH, PA

Past

August 14, 2020 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

CARNEGIE, PA

Past

September 19, 2019 - August 18, 2020

LPL FINANCIAL LLC

RIA

CRD#: 6413

BRIDGEVILLE, PA

Past

September 19, 2019 - August 18, 2020

LPL FINANCIAL LLC

CRD#: 6413

BRIDGEVILLE, PA

Past

September 3, 2013 - September 25, 2019

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

BRIDGEVILLE, PA

Past

September 3, 2013 - September 25, 2019

CETERA WEALTH SERVICES, LLC

CRD#: 13572

BRIDGEVILLE, PA

Past

December 11, 2012 - November 26, 2019

SECURITIES BROKERAGE SERVICES

RIA

CRD#: 119861

CARNEGIE, PA

Past

July 19, 2007 - September 3, 2013

WALNUT STREET SECURITIES, INC.

RIA

CRD#: 15840

PITTSBURGH, PA

Past

March 11, 2005 - February 16, 2007

VICUS CAPITAL, INC.

RIA

CRD#: 116021

STATE COLLGE, PA

Past

December 9, 2003 - September 3, 2013

WALNUT STREET SECURITIES, INC.

CRD#: 15840

PITTSBURGH, PA

Past

December 15, 1998 - January 7, 2004

FINANCIAL INVESTMENT ANALYSTS, INC.

CRD#: 16010

PITTSBURGH, PA

Past

July 31, 1987 - December 31, 1997

FINANCIAL INVESTMENT ANALYSTS, INC.

CRD#: 16010

PITTSBURGH, PA

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

Florida
(8/14/2020)

Indiana
(9/22/2025)

Kansas
(8/14/2020)

North Carolina
(8/23/2023)

Pennsylvania
(8/14/2020)

IAR

Pennsylvania
(8/18/2020)

South Carolina
(8/14/2020)

West Virginia
(8/14/2020)

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: 4/22/2004

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 7/31/1987

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: 7/18/1987

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/16/2002

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)

PREMIUM

Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.

Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.

Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

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)

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.

Similar Advisors

Andrea Robertson

JANNEY MONTGOMERY SCOTT LLC

IAR

SEWICKLEY (Wexford), PA

Richard Sabo

J. W. COLE ADVISORS, INC.

IAR

GIBSONIA, PA

Edmund Vilsack

JANNEY MONTGOMERY SCOTT LLC

IAR

Canonsburg, PA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Theodore F. Staats

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Theodore Francis Staats III's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT ADVISERS LLC

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

SECURITIES BROKERAGE SERVICES

WALNUT STREET SECURITIES, INC.

VICUS CAPITAL, INC.

WALNUT STREET SECURITIES, INC.

FINANCIAL INVESTMENT ANALYSTS, INC.

FINANCIAL INVESTMENT ANALYSTS, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/22/2004

Series 63

Date: 7/31/1987

SIE

Date: 10/1/2018

Series 7

Date: 7/18/1987

Series 24

Date: 10/16/2002

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

Similar Advisors