RO
Ronald P. Obernolte
CETERA INVESTMENT ADVISERS LLC
OAKHURST, CA 93644
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CRD#: 1973535
RO
Professional summary
Ronald Paul Obernolte, CFP®, who also goes by Ron Obernolte, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Oakhurst, California and CETERA ADVISORS LLC located in Oakhurst, California.
Ronald is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Ronald has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 51 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ron Obernolte
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.FRESNO SCOTTISH RITE, 1455 L ST FRESNO, CA 93727, START 01/01/07, VOLUNTEER, 2HR/WK.
2. THE SUMMIT GROUP, 1875 N FINE AVE #102, FRESNO, CA 93727, LIVING TRUST DATA GATHERING/FIXED INSURANCE, START 01/01/94, 5HR/WK, COMMISSION.
3.NAME OF OTHER BUSINESS: SHRINERS HOSPITALS FOR CHILDREN NORTHERN CALIFORNIA
INVESTMENT RELATED: NO
ADDRESS: 2425 STOCKON BLVD SACRAMENTO CA 95817
NATURE OF BUSINESS: NON PROFIT ORGANIZATION
START DATE: 7/2017
APX NUMBER OF HOURS PER WEEK: 10
APX NUMBER OF TRADING HOURS PER WEEK: 10
POSITION/TITLE/RELATIONSHIP: MEMBER, HOSPITAL BOARD OF GOVERNORS
BRIEF DESCRIPTION OF DUTIES: ATTEND MEETINGS, REVIEW BILLS AND AUTHORIZE PAYMENTS
CRS (Client Relationship Summary) - RIA
Click below to view Ronald Paul Obernolte'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: 1994
Experience
Current
March 21, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 40258 Highway 41, Suite D, Oakhurst, CA 93644RIA
CRD#: 105644
OAKHURST, CA
Current
December 15, 1998 - Present
CETERA ADVISORS LLC
Office #1: 40258 Highway 41, Suite D, Oakhurst, CA 93644BD
CRD#: 10299
OAKHURST, CA
Past
May 3, 1999 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
GREENWOOD VILLAGE, IL
Past
May 25, 1994 - December 9, 1998
SUNAMERICA SECURITIES, INC.
BD
CRD#: 20068
PHOENIX, AZ
Past
August 22, 1989 - April 19, 1994
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
August 22, 1989 - April 19, 1994
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
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(7/17/2020)
RR
Arizona(2/10/2004)
RR
California(8/28/2001)
IAR
California(3/21/2024)
RR
Colorado(10/9/2020)
RR
Georgia(5/20/2021)
RR
Kansas(8/21/2023)
RR
Nevada(3/4/2015)
RR
Oregon(1/5/2000)
RR
Texas(4/20/2020)
IAR
Texas(3/21/2024)
RR
Utah(5/20/2025)
Exams
State Security Law Exam
State Security Law 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
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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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
CRD#: 105644Oakhurst, CA 93644TRUST BUT VERIFY
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