AL
Alan D. Luttman
CETERA INVESTMENT ADVISERS LLC
Bonita Springs, FL
Some features on this profile are disabled
CRD#: 1984335
AL
Professional summary
Alan David Luttman, who also goes by Alan D Luttman, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Bonita Springs, Florida and CETERA WEALTH SERVICES, LLC located in Bloomington, Minnesota.
Alan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Alan has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Alan D Luttman
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: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 10/2016 APX NUMBER OF HOURS PER WEEK: VARIES APX NUMBER OF HOURS DURING TRADING HOURS: VARIES POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, ANNUITIES AND LONG TERM CARE 2. NAME OF OTHER BUSINESS: SIP PROPERTIES, LLC INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: LLC FOR OFFICE BUILDING POSITION/TITLE/RELATIONSHIP: OWNER START DATE: 3/2008 APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: MINIMAL BRIEF DESCRIPTION OF DUTIES: OWNER DUTIES 3. NAME OF OTHER BUSINESS: SIP WEALTH MANAGEMENT INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: GENERAL INSURANCE AGENCY START DATE: 01/2015 APX NUMBER OF HOURS PER WEEK: 3 APX NUMBER OF HOURS DURING TRADING HOURS: 3 BRIEF DESCRIPTION OF DUTIES: MANAGER / AGENT 4. NAME OF OTHER BUSINESS: SIP ENTERPRISES INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: PARTNERSHIP START DATE: 2006 APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: MINIMAL BRIEF DESCRIPTION OF DUTIES: OWNERSHIP DUTIES 5. NAME OF OTHER BUSINESS: MONEY MATTERS WITH AL AND MIKE INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: RADIO SHOW START DATE: 03/2010 APX NUMBER OF HOURS PER WEEK: 4 APX NUMBER OF HOURS DURING TRADING HOURS: MINIMAL BRIEF DESCRIPTION OF DUTIES: CO-HOST FOR WEEKLY FINANCIAL RADIO SHOW 6. NAME OF OTHER BUSINESS: NORTHDALE COMMON TOWNOFFICE PARK, INC. INVESTMENT RELATED: NO ADDRESS: MINNEAPOLIS, MN NATURE OF BUSINESS: ASSOCIATION START DATE: 2008 APX NUMBER OF HOURS PER WEEK: 2 APX NUMBER OF HOURS DURING TRADING HOURS: MINIMAL BRIEF DESCRIPTION OF DUTIES: PRESIDENT OF ASSOCIATION OF OFFICE BUILDING 7.NAME OF OTHER BUSINESS: STRATEGIC INVESTMENT PARTNERS INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: SECURITIES BUSINESS START DATE: 1/2015 APX NUMBER OF HOURS PER WEEK: 20 APX NUMBER OF TRADING HOURS PER WEEK: 20 POSITION/TITLE/RELATIONSHIP: MANAGER & AGENT BRIEF DESCRIPTION OF DUTIES: DBA FOR SECURITIES BUSINESS; 8. NAME OF OTHER BUSINESS: LUTTMAN PROPERTIES LLC; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: REAL ESTATE; START DATE: 9/2024; POSITION/TITLE/RELATIONSHIP: MANAGING PARTNER/OWNER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: LLC FOR PURCHASE OF REAL ESTATE;
CRS (Client Relationship Summary) - RIA
Click below to view Alan David Luttman'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
May 25, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #3: 2183 Northdale Blvd Nw, Minneapolis, MN 55433RIA
CRD#: 105644
Bonita Springs, FL
Current
October 10, 2016 - Present
CETERA WEALTH SERVICES, LLC
Office #3: 2183 Northdale Blvd Nw, Minneapolis, MN 55433BD
CRD#: 13572
BLOOMINGTON, MN
Past
October 10, 2016 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
BONITA SPRINGS, FL
Past
January 5, 2010 - October 12, 2016
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
RIA
CRD#: 13609
MINNEAPOLIS, MN
Past
November 19, 2008 - December 31, 2009
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
RIA
CRD#: 13609
MINNEAPOLIS, MN
Past
November 14, 2008 - October 12, 2016
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
BD
CRD#: 13609
MINNEAPOLIS, MN
Past
April 15, 2008 - December 12, 2008
PROSPERA FINANCIAL SERVICES, INC.
RIA
CRD#: 10740
MINNEAPOLIS, MN
Past
October 18, 2004 - December 12, 2008
PROSPERA FINANCIAL SERVICES, INC.
BD
CRD#: 10740
MINNEAPOLIS, MN
Past
February 10, 2003 - October 15, 2004
THE O.N. EQUITY SALES COMPANY
BD
CRD#: 2936
CINCINNATI, OH
Past
September 20, 2001 - April 1, 2008
NETWORTH ASSET MANAGEMENT, INC
RIA
CRD#: 105145
MARCO ISLAND, FL
Past
October 17, 2000 - February 7, 2003
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
EL SEGUNDO, CA
Past
June 22, 1993 - October 30, 2000
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SPRINGFIELD, MA
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(10/10/2016)
RR
Arkansas(1/4/2024)
RR
California(7/25/2023)
RR
Florida(10/10/2016)
IAR
Florida(5/25/2023)
RR
Indiana(1/4/2024)
RR
Iowa(1/4/2024)
RR
Michigan(12/8/2021)
RR
Minnesota(10/10/2016)
IAR
Minnesota(6/29/2023)
RR
Mississippi(3/24/2025)
RR
Missouri(12/8/2021)
RR
Nevada(3/6/2024)
RR
North Carolina(1/6/2020)
RR
North Dakota(2/8/2017)
RR
Ohio(12/26/2017)
RR
South Dakota(2/3/2022)
RR
Texas(10/10/2016)
IAR
Texas(6/29/2023)
RR
Virginia(1/4/2024)
RR
Washington(2/24/2022)
RR
Wisconsin(10/10/2016)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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.
