Alan R. Edwards

CETERA INVESTMENT ADVISERS LLC

PALM HARBOR, FL 34683

Some features on this profile are disabled

CRD#: 1730721

Professional summary

Alan Richard Edwards is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Palm Harbor, Florida and CETERA ADVISORS LLC located in Palm Harbor, Florida.

Alan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Alan has worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 31, Series 7, Series 10, Series 4 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.

1. NAME OF OTHER BUSINESS: TOTUS WEALTH MANAGEMENT; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 10/2021; POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alan Richard Edwards'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 19, 2024 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 16 Baywood Dr, Palm Harbor, FL 34683

RIA

CRD#: 105644

PALM HARBOR, FL

Current

October 11, 2021 - Present

CETERA ADVISORS LLC

CRD#: 10299

Palm Harbor, FL

Past

October 12, 2021 - March 21, 2024

CETERA ADVISORS LLC

RIA

CRD#: 10299

THE WOODLANDS, TX

Past

June 1, 2009 - November 1, 2021

MORGAN STANLEY

RIA

CRD#: 149777

Tampa, FL

Past

June 1, 2009 - November 1, 2021

MORGAN STANLEY

CRD#: 149777

Tampa, FL

Past

December 1, 2007 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

TAMPA, FL

Past

October 24, 2007 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

TAMPA, FL

Past

November 13, 2000 - October 15, 2007

J.P. TURNER & COMPANY, L.L.C.

CRD#: 43177

PALM HARBOR, FL

Past

November 12, 1990 - November 16, 2000

BARRON CHASE SECURITIES, INC.

CRD#: 18969

BOCA RATON, FL

Past

March 1, 1989 - October 17, 1990

R.B. MARICH, INC.

CRD#: 13227

Past

January 6, 1989 - February 27, 1989

ALL-TECH DIRECT, INC.

CRD#: 13992

Past

August 16, 1988 - January 6, 1989

KOBER FINANCIAL CORP.

CRD#: 17551

Past

October 21, 1987 - October 17, 1990

R.B. MARICH, INC.

CRD#: 13227

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
(10/22/2021)

Arkansas
(1/31/2022)

California
(10/12/2021)

District of Columbia
(10/15/2021)

Florida
(10/12/2021)

IAR

Florida
(2/19/2024)

Illinois
(1/11/2022)

New Jersey
(11/29/2021)

New Mexico
(10/13/2021)

New York
(10/14/2021)

North Carolina
(11/2/2021)

Ohio
(10/12/2021)

Rhode Island
(11/8/2021)

Tennessee
(10/12/2021)

Texas
(10/12/2021)

IAR

Texas
(3/21/2024)

Utah
(10/13/2021)

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: 11/21/2007

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 2/2/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 3/25/2011

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 10/17/1987

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 1/2/2023

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 4

Date: 12/6/1994

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 11/27/1991

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)

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)

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.

Similar Advisors

John Valencia

LPL FINANCIAL LLC

IAR

LARGO, FL

Spiros Vassilakos

CSENGE ADVISORY GROUP, LLC

IAR

Tarpon Springs, FL

Lee Gorgas

CHARLES SCHWAB & CO., INC.

IAR

Tampa, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Alan R. Edwards

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alan Richard Edwards's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA ADVISORS LLC

CETERA ADVISORS LLC

MORGAN STANLEY

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

J.P. TURNER & COMPANY, L.L.C.

BARRON CHASE SECURITIES, INC.

R.B. MARICH, INC.

ALL-TECH DIRECT, INC.

KOBER FINANCIAL CORP.

R.B. MARICH, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/21/2007

Series 63

Date: 2/2/1988

SIE

Date: 10/1/2018

Series 31

Date: 3/25/2011

Series 7

Date: 10/17/1987

Series 10

Date: 1/2/2023

Series 4

Date: 12/6/1994

Series 24

Date: 11/27/1991

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