RW
Rhonda A. Wind
CETERA INVESTMENT ADVISERS LLC
WALL, NJ 07719
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CRD#: 1728708
RW
Professional summary
Rhonda April Wind, who also goes by Rhonda April Berger, Rhonda Wind, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Wall, New Jersey and CETERA ADVISORS LLC located in Wall, New Jersey.
Rhonda is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Rhonda has worked at 7 firms and has passed the Series 66, Series 63, Series 65, SIE, Series 3, Series 7, Series 24, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rhonda April Berger | Rhonda Wind
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: SAFE HARBOR FINANCIAL ; INVESTMENT RELATED: YES ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: FINANCIAL SERVICES ; START DATE: 1/2017 ; APX NUMBER OF HOURS PER WEEK: 40 ; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 ; POSITION/TITLE/RELATIONSHIP: BUSINESS ADMINISTATOR ; BRIEF DESCRIPTION OF DUTIES: COMPLIANCE ASSISTANT ; (2) NAME OF OTHER BUSINESS: RALPH LAUREN ; INVESTMENT RELATED: NO ; ADDRESS: 537 MONMOUTH RD, STE 124, JACKSON, NJ 08527 ; NATURE OF BUSINESS: RETAIL SALES ; START DATE: 08/2021 ; POSITION/TITLE/RELATIONSHIP: STORE ASSOCIATE ; APX NUMBER OF HOURS PER WEEK: 8 ; APX NUMBER OF HOURS DURING TRADING HOURS: NONE ; BRIEF DESCRIPTION OF DUTIES: SHOWING MERCHANDISE TO CUSTOMERS AND ASSISTING CUSTOMERS IN STORE ; (3) NAME OF OTHER BUSINESS: NOTARY PUBLIC COMMISSION; INVESTMENT RELATED: NO ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: NOTARIZING DOCUMENTS ; START DATE: 04/2012; POSITION/TITLE/RELATIONSHIP: NOTARY ; APX NUMBER OF HOURS PER WEEK: VARIES ; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES; BRIEF DESCRIPTION OF DUTIES: NOTARIZING DOCUMENTS ;
CRS (Client Relationship Summary) - RIA
Click below to view Rhonda April Wind'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
March 21, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 1540 Highway 138 Ste 303, Wall, NJ 07719RIA
CRD#: 105644
WALL, NJ
Current
January 31, 2017 - Present
CETERA ADVISORS LLC
Office #1: 1540 Highway 138 Ste 303, Wall, NJ 07719BD
CRD#: 10299
Wall, NJ
Past
January 31, 2017 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
GREENWOOD VILLAGE, IL
Past
June 1, 2009 - May 26, 2016
MORGAN STANLEY
RIA
CRD#: 149777
LAWRENCEVILLE, NJ
Past
June 1, 2009 - May 26, 2016
MORGAN STANLEY
BD
CRD#: 149777
LAWRENCEVILLE, NJ
Past
September 12, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
RED BANK, NJ
Past
June 20, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
RED BANK, NJ
Past
February 21, 2006 - July 3, 2007
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
SHREWSBURY, NJ
Past
June 14, 2001 - February 21, 2006
LEGG MASON WOOD WALKER, INCORPORATED
BD
CRD#: 6555
BALTIMORE, MD
Past
July 16, 1992 - August 14, 2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
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
Alabama(1/31/2017)
RR
Alaska(1/31/2017)
RR
Arizona(1/31/2017)
RR
Arkansas(11/16/2017)
RR
California(1/31/2017)
RR
Colorado(1/31/2017)
RR
Connecticut(1/31/2017)
RR
Delaware(1/31/2017)
RR
District of Columbia(1/31/2017)
RR
Florida(1/31/2017)
RR
Georgia(1/31/2017)
RR
Idaho(11/17/2021)
RR
Indiana(2/9/2019)
RR
Iowa(5/17/2017)
RR
Kansas(1/31/2017)
RR
Kentucky(1/31/2017)
RR
Louisiana(11/16/2017)
RR
Maine(1/31/2017)
RR
Maryland(1/31/2017)
RR
Massachusetts(1/31/2017)
RR
Michigan(1/31/2017)
RR
Minnesota(1/31/2017)
RR
Mississippi(11/16/2017)
RR
Missouri(1/31/2017)
RR
Montana(1/31/2017)
RR
Nebraska(8/13/2019)
RR
Nevada(1/16/2019)
RR
New Hampshire(1/31/2017)
RR
New Jersey(1/31/2017)
IAR
New Jersey(3/21/2024)
RR
New Mexico(6/29/2018)
RR
New York(1/31/2017)
RR
North Carolina(2/1/2017)
RR
Ohio(1/31/2017)
RR
Oregon(1/31/2017)
RR
Pennsylvania(1/31/2017)
RR
Rhode Island(1/31/2017)
RR
South Carolina(1/31/2017)
RR
Tennessee(11/16/2017)
RR
Texas(1/31/2017)
IAR
Texas(3/21/2024)
RR
Utah(1/31/2017)
RR
Vermont(1/31/2017)
RR
Virginia(1/31/2017)
RR
Washington(2/1/2017)
RR
Wisconsin(1/31/2017)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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
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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
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.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Wall, NJ 07719TRUST BUT VERIFY
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