Leann R. Rummel
CETERA INVESTMENT ADVISERS LLC | President & CEO of Cetera Investment Services
ST CLOUD, MN 56301
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CRD#: 1965155
Professional summary
Leann Renee Rummel, who also goes by Leann Renee Rummelmccool, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in St Cloud, Minnesota and CETERA INVESTMENT SERVICES LLC located in St Cloud, Minnesota.
Leann is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Leann has worked at 9 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 6 and Series 24 exams.
Biography
LeAnn Rummel joined Cetera Investment Services in 1992 and serves as president and CEO, where she focuses on all aspects of the business. Additionally, she leads the firm’s executive committee and acts as president of Cetera’s insurance agencies.
LeAnn currently serves as a Bank Insurance Securities Association (BISA) board member. In 2014, she was inducted into BISA’s Circle of Excellence, which honors outstanding professionals in the industry. She is the executive sponsor for the CFG advisor-led Diversity & Inclusion Council.
Prior to Cetera, she served on PrimeVest’s executive committee and within the ING Advisors Network marketing team as vice president - financial institution channel and product marketing. Before that, she served as vice president of product sales and marketing for PrimeVest, managing the firm’s creative services team as well as the cash management, life insurance, retirement planning, financial planning and investment advisory departments.
LeAnn’s tenure in the financial services industry spans more than 30 years. She is qualified as a general securities representative (Series 7), as a general securities principal (Series 24) and as a uniform securities agent (Series 63). She also possesses her insurance licenses. LeAnn received a Bachelor of Science degree in Business Administration with a marketing emphasis from Iowa State University.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Leann Renee Rummelmccool
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.
CRS (Client Relationship Summary) - RIA
Click below to view Leann Renee Rummel'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
January 21, 2014 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 400 1st St S Ste 300, St Cloud, MN 56301RIA
CRD#: 105644
ST CLOUD, MN
Current
October 22, 1992 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 400 1st St S Ste 300, St Cloud, MN 56301BD
CRD#: 15340
St Cloud, MN
Current
October 9, 2012 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 400 1st St S Ste 300, St Cloud, MN 56301BD
CRD#: 13572
St Cloud, MN
Past
March 12, 2013 - January 21, 2014
CETERA INVESTMENT SERVICES LLC
RIA
CRD#: 15340
MECHANICSBURG, PA
Past
December 7, 2004 - September 20, 2006
CETERA ADVISORS LLC
BD
CRD#: 10299
GREENWOOD VILLAGE, CO
Past
December 7, 2004 - September 20, 2006
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
WINDSOR, CT
Past
December 7, 2004 - September 20, 2006
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
EL SEGUNDO, CA
Past
May 4, 2000 - December 31, 2010
GUARANTY BROKERAGE SERVICES, INC.
BD
CRD#: 23302
ST. CLOUD, MN
Past
April 20, 2000 - November 14, 2003
BANCWEST INVESTMENT SERVICES, INC.
BD
CRD#: 29357
OMAHA, NE
Past
April 30, 1998 - November 17, 2009
BANCNORTH INVESTMENT GROUP, INC.
BD
CRD#: 31299
ST. CLOUD, MN
Past
December 23, 1991 - October 20, 1992
AEGON USA SECURITIES INC.
BD
CRD#: 13302
CEDAR RAPIDS, IA
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
Alabama(7/5/1995)
RR
Alaska(9/24/2012)
RR
Arizona(10/25/1996)
RR
Arkansas(7/1/1999)
RR
California(6/30/1999)
RR
Colorado(6/30/1999)
RR
Connecticut(6/30/1999)
RR
Delaware(8/24/1999)
RR
District of Columbia(7/2/1999)
RR
Florida(7/1/1999)
RR
Georgia(6/30/1999)
RR
Hawaii(10/27/1999)
RR
Idaho(6/30/1999)
RR
Illinois(10/30/1995)
RR
Indiana(8/24/1999)
RR
Iowa(3/4/1993)
RR
Kansas(6/30/1999)
RR
Kentucky(8/24/1999)
RR
Louisiana(7/1/1999)
RR
Maine(1/7/1998)
RR
Maryland(7/5/1995)
RR
Massachusetts(4/27/2004)
RR
Michigan(6/24/1999)
RR
Minnesota(10/22/1992)
IAR
Minnesota(1/21/2014)
RR
Missouri(7/1/1999)
RR
Montana(12/5/1995)
RR
Nebraska(6/30/1999)
RR
Nevada(10/28/1999)
RR
New Hampshire(11/9/1999)
RR
New Jersey(7/22/1996)
RR
New Mexico(7/5/1995)
RR
New York(6/30/1999)
RR
North Carolina(10/12/1999)
RR
North Dakota(10/28/1996)
RR
Ohio(7/6/1995)
RR
Oklahoma(7/6/1995)
RR
Oregon(6/30/1999)
RR
Pennsylvania(7/5/1995)
RR
Rhode Island(8/26/1999)
RR
South Carolina(7/29/1999)
RR
South Dakota(10/25/1995)
RR
Tennessee(7/1/1999)
RR
Texas(7/6/1995)
IAR
Texas(1/21/2014)
RR
Utah(6/30/1999)
RR
Vermont(8/25/1999)
RR
Virginia(8/26/1999)
RR
Washington(6/30/1999)
RR
West Virginia(7/1/1999)
RR
Wisconsin(7/1/1999)
RR
Wyoming(7/14/2010)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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
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Company Information
CETERA INVESTMENT ADVISERS LLC
President & CEO of Cetera Investment ServicesCRD#: 105644St Cloud, MN 56301TRUST BUT VERIFY
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Contact information
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