Leonard F. Waldmann

CETERA INVESTMENT ADVISERS LLC

DENVER, CO

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CRD#: 1922418

Professional summary

Leonard F Waldmann III, who also goes by Len Waldmann, Leonard F III Waldmann, Leonard Francis Waldmann III, Leonard F Waldmann Iii Iii, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Denver, Colorado and CETERA WEALTH SERVICES, LLC located in Greenwood Village, Colorado.

Leonard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Leonard has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Len Waldmann | Leonard F Iii Waldmann | Leonard Francis Waldmann Iii | Leonard F Waldmann Iii Iii

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: FFEC WEALTH PARTNERS INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 04/2022; POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 8; BRIEF DESCRIPTION OF DUTIES: FINANCIAL SERVICES;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Leonard F Waldmann III'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

June 29, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

Office #2: 5655 S Yosemite Ste 300, Greenwood Village, CO 80111

RIA

CRD#: 105644

DENVER, CO

Current

April 20, 2022 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 5655 S Yosemite Ste 300, Greenwood Village, CO 80111

CRD#: 13572

Greenwood Village, CO

Past

April 20, 2022 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

Denver, CO

Past

August 8, 2016 - April 20, 2022

FFEC WEALTH PARTNERS LLC

RIA

CRD#: 16507

GREENWOOD VILLAGE, CO

Past

August 8, 2016 - April 20, 2022

FFEC WEALTH PARTNERS LLC

CRD#: 16507

GREENWOOD VILLAGE, CO

Past

June 1, 2009 - July 28, 2016

MORGAN STANLEY

RIA

CRD#: 149777

DENVER, CO

Past

June 1, 2009 - July 28, 2016

MORGAN STANLEY

CRD#: 149777

DENVER, CO

Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

DENVER, CO

Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

DENVER, CO

Past

January 1, 1999 - April 2, 2007

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

DENVER, CO

Past

February 12, 1993 - April 2, 2007

MORGAN STANLEY DW INC.

CRD#: 7556

DENVER, CO

Past

February 14, 1989 - February 23, 1993

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

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".

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

California
(1/5/2023)

Colorado
(4/20/2022)

IAR

Colorado
(6/29/2023)

Florida
(4/21/2022)

Illinois
(4/20/2022)

Maryland
(4/20/2022)

New Mexico
(4/20/2022)

Ohio
(4/20/2022)

Texas
(11/13/2024)

IAR

Texas
(11/14/2024)

Utah
(4/20/2022)

Virginia
(4/20/2022)

Wyoming
(4/20/2022)

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 65

Date: 3/8/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/7/1989

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: 1/29/1997

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 2/11/1989

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 12/7/2000

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 11/27/2000

General Securities Sales Supervisor - Options Module 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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Firm Stability Insights

Leonard F. Waldmann

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Leonard F Waldmann III's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

FFEC WEALTH PARTNERS LLC

FFEC WEALTH PARTNERS LLC

MORGAN STANLEY

MORGAN STANLEY

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/8/1999

Series 63

Date: 3/7/1989

SIE

Date: 10/1/2018

Series 31

Date: 1/29/1997

Series 7

Date: 2/11/1989

Series 10

Date: 12/7/2000

Series 9

Date: 11/27/2000

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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