Dale A. Hearn
CETERA INVESTMENT ADVISERS LLC
SPRING, TX 77379
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CRD#: 1695714
Professional summary
Dale Alan Hearn, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Spring, Texas and CETERA WEALTH SERVICES, LLC located in Spring, Texas.
Dale is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Dale has worked at 6 firms and has passed the Series 63, Series 52TO, Series 72, SIE, Series 7, Series 53 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.
(dba) STRATEGIC FINANCIAL ADVISORS; Investment Related; 21025 Spring Brook Plaza Drive, Spring, TX 77379; Financial Advisor/Partner; Start Date 01/1997; 10 hours per month; Retirement and college planning. I occasionally sell term insurance products. >> LANIER BIBLICAL LITERACY CLASS; Non-Investment Related; 15555 Stuebner Airline Rd, Houston, TX 77066; Committee member; Start Date 08/2017; 1 hour per month; Count money for deposit, make deposits, and occasionally write checks. >> EXECUTOR; Non-Investment Related; 21025 Spring Brook Plaza Drive, Spring, TX 77379; Other; Executor; Start Date 01/2023; 6 hours per month with 2 of those hours per month occurring during trading hours; Executor of my mother's estate.
CRS (Client Relationship Summary) - RIA
Click below to view Dale Alan Hearn'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: 1992
Experience
Current
February 20, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 21025 Spring Brook Plaza Drive, Spring, TX 77379RIA
CRD#: 105644
SPRING, TX
Current
February 20, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 21025 Spring Brook Plaza Drive, Spring, TX 77379BD
CRD#: 13572
Spring, TX
Past
January 2, 1997 - February 20, 2025
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
RIA
CRD#: 15708
Spring, TX
Past
January 2, 1997 - February 20, 2025
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
Spring, TX
Past
October 21, 1994 - December 31, 1996
SUNAMERICA SECURITIES, INC.
BD
CRD#: 20068
PHOENIX, AZ
Past
September 28, 1994 - October 27, 1994
SUNPOINT SECURITIES, INC.
BD
CRD#: 25442
LONGVIEW, TX
Past
July 31, 1987 - October 3, 1994
MURCHISON INVESTMENT BANKERS, INC.
BD
CRD#: 20027
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
Colorado(2/20/2025)
RR
Florida(2/20/2025)
RR
Pennsylvania(2/20/2025)
IAR
Pennsylvania(2/20/2025)
RR
Texas(2/20/2025)
IAR
Texas(2/20/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 72
Date: 1/2/2023
Government Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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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Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Spring, TX 77379TRUST BUT VERIFY
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