RP
Robert S. Paul
CETERA INVESTMENT ADVISERS LLC
TUSTIN, CA 92780
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CRD#: 1883555
RP
Professional summary
Robert Stephen Paul, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Tustin, California and CETERA WEALTH SERVICES, LLC located in Tustin, California.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Robert has worked at 9 firms and has passed the Series 63, SIE and Series 7 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) ROBERT S. PAUL WEALTH CARE ADVISOR POSITION: OWNER NATURE: FINANCIAL SERVICES INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 1 START DATE: 12/01/2008 ADDRESS: Tustin CA , United States DESCRIPTION: Provide financial services to clients. 2) INCOME TAX PREPARATION POSITION: Owner NATURE: Provide income tax preparation and planning INVESTMENT RELATED: No NUMBER OF HOURS: 50 SECURITIES TRADING HOURS: 35 START DATE: 01/01/1988 ADDRESS: 1442 Irvine Bvld. Ste 234, Tustin CA 92780-3800, United States DESCRIPTION: Business owner, year round service 3) INSURANCE SALES; POSITION: Sales Representative NATURE: VA, Life and Extended Care Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 4 START DATE: 11/25/2019 ADDRESS: 1442 Irvine Blvd Ste 234, Tustin CA 92780, United States DESCRIPTION: Same as all aspects of other areas of financial planning. Working with clients to help them meet their financial goals utilizing Insurance products.
CRS (Client Relationship Summary) - RIA
Click below to view Robert Stephen Paul'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®
CFP®
Start date: 1993
Experience
Current
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 1442 Irvine Blvd. Suite 234, Tustin, CA 92780RIA
CRD#: 105644
TUSTIN, CA
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 1442 Irvine Blvd. Suite 234, Tustin, CA 92780BD
CRD#: 13572
TUSTIN, CA
Past
October 25, 2019 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
TUSTIN, CA
Past
October 25, 2019 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
TUSTIN, CA
Past
November 15, 2006 - October 25, 2019
1ST GLOBAL ADVISORS INC
RIA
CRD#: 111133
TUSTIN, CA
Past
November 15, 2006 - October 25, 2019
1ST GLOBAL CAPITAL CORP.
BD
CRD#: 30349
TUSTIN, CA
Past
June 21, 1999 - November 15, 2006
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
IRVINE, CA
Past
May 9, 1994 - June 25, 1999
OSAIC WEALTH, INC.
BD
CRD#: 23131
SCOTTSDALE, AZ
Past
February 6, 1989 - May 9, 1994
TRIPLE CHECK FINANCIAL SERVICES, INC.
BD
CRD#: 13344
BURBANK, 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
RR
Arizona(9/5/2025)
RR
California(9/5/2025)
IAR
California(9/5/2025)
RR
Colorado(9/5/2025)
RR
Florida(9/5/2025)
RR
Idaho(9/5/2025)
RR
Illinois(9/5/2025)
RR
Maryland(9/5/2025)
RR
Missouri(9/5/2025)
RR
Nevada(9/5/2025)
RR
New Mexico(9/5/2025)
RR
Ohio(9/5/2025)
RR
Oregon(9/5/2025)
RR
Rhode Island(9/5/2025)
RR
South Dakota(9/5/2025)
RR
Texas(9/5/2025)
IAR
Texas(9/5/2025)
RR
Washington(9/5/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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.
