RV
Robert S. Vollmer
CETERA INVESTMENT ADVISERS LLC
PRESCOTT, AZ 86301
Some features on this profile are disabled
CRD#: 1719051
RV
Professional summary
Robert Stewart Vollmer JR, who also goes by Robert Stewart Vollmer, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Prescott, Arizona and CETERA ADVISORS LLC located in Prescott, Arizona.
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 6 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Robert Stewart Vollmer
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. ROBERT VOLLMER - INSURANCE(CMG OF CA); INDEPENDENT CONTRACTOR; INSURANCE (FIXED/LIFE/HEALTH/P&C); START DATE 02/17/2012. 2. NAME OF OTHER BUSINESS: ROBERT S VOLLMER LLC; INVESTMENT RELATED: NO; ADDRESS: SAME AS RESIDENTIAL LOCATION; NATURE OF BUSINESS: LLC FOR TAX REPORTING; START DATE: 10/2021; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 0; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: CORPORATION SET UP FOR TAX REPORTING PURPOSES;
CRS (Client Relationship Summary) - RIA
Click below to view Robert Stewart Vollmer JR'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®
NoneExperience
Current
November 12, 2020 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 900 Tom Mix Trail, Prescott, AZ 86301RIA
CRD#: 105644
PRESCOTT, AZ
Current
September 8, 2022 - Present
CETERA ADVISORS LLC
Office #2: 2618 Portsmouth Creek Ave,, Henderson, NV 89052BD
CRD#: 10299
PRESCOTT, AZ
Past
June 11, 2012 - November 12, 2020
FIRST ALLIED ADVISORY SERVICES, INC.
RIA
CRD#: 137888
LAKE FOREST, CA
Past
November 13, 2003 - July 2, 2012
FIRST ALLIED SECURITIES, INC.
RIA
CRD#: 32444
Henderson, NV
Past
November 3, 2003 - September 8, 2022
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
Henderson, NV
Past
December 20, 1995 - October 31, 2003
CURREN & COMPANY
BD
CRD#: 25978
IRVINE, CA
Past
August 20, 1987 - December 15, 1995
INTERFIRST CAPITAL CORPORATION
BD
CRD#: 7659
LOS ANGELES, CA
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
IAR
Arizona(3/15/2021)
RR
Arizona(9/8/2022)
RR
California(9/8/2022)
RR
Colorado(9/8/2022)
RR
Florida(9/8/2022)
RR
Georgia(9/8/2022)
RR
Idaho(9/8/2022)
RR
Illinois(9/8/2022)
RR
Kansas(9/8/2022)
RR
Kentucky(9/8/2022)
RR
Louisiana(5/21/2025)
RR
Maryland(12/26/2024)
RR
Michigan(9/8/2022)
RR
Montana(9/8/2022)
IAR
Nevada(6/1/2021)
RR
Nevada(9/8/2022)
RR
North Carolina(9/8/2022)
RR
Ohio(9/8/2022)
RR
Oregon(9/8/2022)
RR
Pennsylvania(9/8/2022)
RR
South Carolina(9/8/2022)
RR
Tennessee(9/8/2022)
IAR
Texas(11/12/2020)
RR
Texas(9/8/2022)
RR
Virginia(9/8/2022)
RR
Washington(9/8/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral 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
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See 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)
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
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.
