EW
Edward M. Winters
CETERA INVESTMENT ADVISERS LLC
PHILLIPSBURG, NJ
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CRD#: 1754074
EW
Professional summary
Edward Michael Winters JR is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Phillipsburg, New Jersey and CETERA ADVISORS LLC located in Phillipsburg, New Jersey.
Edward is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Edward has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 22, Series 6, Series 24 and Series 26 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) DBA: EM WINTERS FINANCIAL SERVICES INC. INVESTMENT RELATED, ADDRESS SAME AS REGISTERED LOCATION, FINANCIAL ADVICE, SECURITIES AND FIXED INSURANCE SALES, START SEPT 2013, 40 HOURS PER WEEK - DURING TRADING HOURS, OWNER, REGISTERED REP / INVESTMENT ADVISER REP. (2) FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED, ADDRESS SAME AS REGISTERED LOCATION, START 2000, 1 HR/WEEK, VARIES DURING TRADING HOURS, INSURANCE AGENT - SELLS LIFE INS (3) NAME OF OTHER BUSINESS: N/A ; INVESTMENT RELATED: NO ; ADDRESS: SAME AS RESIDENTIAL LOCATION NATURE OF BUSINESS: POWER OF ATTORNEY ; START DATE: 09/2021 ; POSITION/TITLE/RELATIONSHIP: POA APX NUMBER OF HOURS PER WEEK: VARIES ; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES ; BRIEF DESCRIPTION OF DUTIES: POWER OF ATTORNEY DUTIES FOR SON ;
CRS (Client Relationship Summary) - RIA
Click below to view Edward Michael Winters 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
March 21, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
PHILLIPSBURG, NJ
Current
April 14, 2000 - Present
CETERA ADVISORS LLC
BD
CRD#: 10299
Phillipsburg, NJ
Past
January 10, 2007 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
WASHINGTON, NJ
Past
May 3, 1991 - April 17, 2000
INVESTMENT ADVISORS & CONSULTANTS, INC.
BD
CRD#: 7996
WEST LONG BRANCH, NJ
Past
February 9, 1990 - May 9, 1991
CADARET, GRANT & CO., INC.
BD
CRD#: 10641
SYRACUSE, NY
Past
November 16, 1989 - February 21, 1990
FOCUS II SECURITIES, INC.
BD
CRD#: 25068
Past
October 28, 1988 - November 30, 1989
CADARET, GRANT & CO., INC.
BD
CRD#: 10641
SYRACUSE, NY
Past
December 17, 1987 - November 16, 1988
FOCUS SECURITIES, INC.
BD
CRD#: 15023
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
Arizona(9/15/2009)
RR
California(3/26/2010)
RR
Colorado(8/9/2019)
RR
Delaware(8/2/2019)
RR
Florida(1/2/2008)
RR
Georgia(11/29/2018)
RR
Massachusetts(5/7/2007)
RR
New Jersey(4/14/2000)
IAR
New Jersey(3/21/2024)
RR
New York(5/11/2000)
RR
North Carolina(2/12/2007)
RR
Ohio(3/25/2008)
RR
Pennsylvania(5/11/2000)
RR
South Carolina(12/15/2009)
RR
Texas(8/2/2019)
IAR
Texas(3/21/2024)
RR
Virginia(8/29/2012)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General 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
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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.
