Robert F. Katz

CETERA INVESTMENT ADVISERS LLC

DENVER, CO

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CRD#: 1695704

Professional summary

Robert Frederic Katz, who also goes by Rob Katz, Robert F Katz, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Denver, Colorado and CETERA WEALTH SERVICES, LLC located in Denver, Colorado.

Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Robert has worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Rob Katz | Robert F Katz

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.

(dba) KATZ INSURANCE LLC; Investment Related; 740 Pearl Street #404, Denver, CO 80203; Insurance; Independent Insurance Producer; Start Date 01/2000; 10 hours per month with 4 of those hours occurring during trading hours; Independent Insurance sales - Fixed insurance product sales with various carriers and/or IMOs. >> LA CONCORDE CONDOS; Non-Investment Related; 740 Pearl Street #404, Denver, CO 80203; Real Estate; Board Member; Start Date 12/2019; 4 hours per month with no hours during trading hours; Maintain and oversee the building in which a own a condo in.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Frederic Katz'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

February 20, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

DENVER, CO

Current

February 20, 2025 - Present

CETERA WEALTH SERVICES, LLC

CRD#: 13572

Denver, CO

Past

May 15, 2015 - February 20, 2025

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

RIA

CRD#: 15708

Denver, CO

Past

May 15, 2015 - February 20, 2025

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CRD#: 15708

Denver, CO

Past

October 5, 2010 - May 27, 2015

QUESTAR ASSET MANAGEMENT, INC.

RIA

CRD#: 133358

CENTENNIAL, CO

Past

October 5, 2010 - May 27, 2015

QUESTAR CAPITAL CORPORATION

CRD#: 43100

CENTENNIAL, CO

Past

June 19, 2007 - October 11, 2010

VOYA FINANCIAL ADVISORS, INC.

RIA

CRD#: 2882

CENTENNIAL, CO

Past

January 1, 2004 - October 11, 2010

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

CENTENNIAL, CO

Past

November 8, 2001 - January 1, 2004

LOCUST STREET SECURITIES, INC.

CRD#: 1703

DES MOINES, IA

Past

September 23, 1999 - November 7, 2001

ONEAMERICA SECURITIES, INC.

CRD#: 4173

INDIANAPOLIS, IN

Past

September 23, 1999 - November 7, 2001

AMERICAN UNITED LIFE INSURANCE COMPANY

CRD#: 1075

INDIANAPOLIS, IN

Past

June 23, 1999 - September 3, 1999

HANTZ FINANCIAL SERVICES, INC.

CRD#: 46047

SOUTHFIELD, MI

Past

January 15, 1999 - June 25, 1999

VESTAX SECURITIES CORPORATION

CRD#: 10332

HUDSON, OH

Past

August 19, 1998 - January 18, 1999

ONEAMERICA SECURITIES, INC.

CRD#: 4173

INDIANAPOLIS, IN

Past

August 19, 1998 - January 18, 1999

AMERICAN UNITED LIFE INSURANCE COMPANY

CRD#: 1075

INDIANAPOLIS, IN

Past

June 6, 1996 - August 19, 1998

PRINCIPAL SECURITIES, INC.

CRD#: 1137

DES MOINES, IA

Past

October 13, 1987 - June 25, 1996

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

Past

July 9, 1987 - September 4, 1987

OSAIC FS, INC.

CRD#: 3870

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
(2/20/2025)

California
(2/20/2025)

Colorado
(2/20/2025)

IAR

Colorado
(2/20/2025)

Florida
(2/20/2025)

Massachusetts
(2/20/2025)

Montana
(2/20/2025)

New York
(2/20/2025)

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 65

Date: 6/14/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/25/1996

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: 5/18/1999

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/8/1987

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 F. Katz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Frederic Katz's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

QUESTAR ASSET MANAGEMENT, INC.

QUESTAR CAPITAL CORPORATION

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

LOCUST STREET SECURITIES, INC.

ONEAMERICA SECURITIES, INC.

AMERICAN UNITED LIFE INSURANCE COMPANY

HANTZ FINANCIAL SERVICES, INC.

VESTAX SECURITIES CORPORATION

ONEAMERICA SECURITIES, INC.

AMERICAN UNITED LIFE INSURANCE COMPANY

PRINCIPAL SECURITIES, INC.

PRUCO SECURITIES, LLC.

OSAIC FS, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/14/2007

Series 63

Date: 6/25/1996

SIE

Date: 10/1/2018

Series 7

Date: 5/18/1999

Series 6

Date: 7/8/1987

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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