Robert Schmelzer

CETERA INVESTMENT ADVISERS LLC

AUSTIN, TX

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CRD#: 1876929

Professional summary

Robert Schmelzer is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Austin, Texas and CETERA ADVISORS LLC located in New York, New York.

Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Robert has worked at 10 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Schmelzer'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

November 12, 2020 - Present

CETERA INVESTMENT ADVISERS LLC

Office #2: 1460 Broadway, New York, NY 10036

RIA

CRD#: 105644

AUSTIN, TX

Current

September 8, 2022 - Present

CETERA ADVISORS LLC

Office #1: 1460 Broadway, New York, NY 10036

CRD#: 10299

New York, NY

Past

July 1, 2014 - November 12, 2020

FIRST ALLIED ADVISORY SERVICES, INC.

RIA

CRD#: 137888

GREAT NECK, NY

Past

June 9, 2014 - September 8, 2022

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

PORT WASHINGTON, NY

Past

August 9, 2012 - September 13, 2012

FIRST EMPIRE ASSET MANAGEMENT, INC

RIA

CRD#: 134411

HAUPPAUGE, NY

Past

June 14, 2012 - September 13, 2012

FIRST EMPIRE SECURITIES, INC.

CRD#: 15129

HAUPPAUGE, NY

Past

July 14, 2003 - September 3, 2003

TRADITION SECURITIES AND DERIVATIVES LLC

CRD#: 28269

NEW YORK, NY

Past

September 25, 2002 - October 2, 2002

RESRV PARTNERS, INC.

CRD#: 10273

NEW YORK, NY

Past

July 17, 2001 - August 30, 2001

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

Past

March 10, 2000 - January 3, 2001

NABSECURITIES, LLC

CRD#: 47390

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".

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

IAR

New York
(3/31/2021)

New York
(9/8/2022)

Texas
(5/3/2023)

IAR

Texas
(5/3/2023)

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: 7/26/2012

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 7/24/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/14/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/13/2012

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/19/2000

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)

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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)

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.

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Robert Schmelzer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Schmelzer's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA ADVISORS LLC

FIRST ALLIED ADVISORY SERVICES, INC.

FIRST ALLIED SECURITIES, INC.

FIRST EMPIRE ASSET MANAGEMENT, INC

FIRST EMPIRE SECURITIES, INC.

TRADITION SECURITIES AND DERIVATIVES LLC

RESRV PARTNERS, INC.

EQUITABLE ADVISORS, LLC

NABSECURITIES, LLC

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 7/26/2012

Series 65

Date: 7/24/2001

Series 63

Date: 3/14/2000

SIE

Date: 10/1/2018

Series 7

Date: 6/13/2012

Series 24

Date: 7/19/2000

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

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