KH
Keith E. Hearns
CETERA INVESTMENT ADVISERS LLC
NEW LENOX, IL 60451
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CRD#: 2024612
KH
Professional summary
Keith Edward Hearns is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in New Lenox, Illinois and CETERA WEALTH SERVICES, LLC located in New Lenox, Illinois.
Keith is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Keith has worked at 6 firms and has passed the Series 66, 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) DBA-JAMES E HEARNS AND ASSOCIATES, LLC; NOT INVESTMENT RELATED; 600 E LINCOLN HGWY NEW LENOX, IL 60451; ACCOUNTING, BOOKKEEPING, TAX SERVICES; PARTNER; BEGAN 1985; 150 HOURS PER MONTH INCLUDING DURING TRADING; ACCOUNTANT AND TAX PREPARER. (2) WILSON HEARNS FARM PARTNERSHIP; NOT INVESTMENT RELATED; SAME AS REGISTERED ADDRESS; CATTLE AND GRAIN CROPS; PARTNER; STARTED 8/15/2012; APX 20 HOURS/MONTH, 1 DURING TRADING; ASSIST IN ACTIVITIES RELATED TO RAISING CATTLE AND FARMING GRAIN (3) NAME OF OTHER BUSINESS: JAMES E HEARNS & ASSOCIATES, LLC; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 07/2023; POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL; APX NUMBER OF HOURS PER WEEK: 15; APX NUMBER OF HOURS DURING TRADING HOURS:15; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;
CRS (Client Relationship Summary) - RIA
Click below to view Keith Edward Hearns'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
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 600 East Lincoln Highway Suite A, New Lenox, IL 60451RIA
CRD#: 105644
NEW LENOX, IL
Current
September 20, 2019 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 600 East Lincoln Highway Suite A, New Lenox, IL 60451BD
CRD#: 13572
New Lenox, IL
Past
May 20, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
September 1, 2016 - May 20, 2021
SUMMIT FINANCIAL GROUP INC
RIA
CRD#: 109485
NEW LENOX, IL
Past
September 1, 2016 - September 20, 2019
SUMMIT BROKERAGE SERVICES, INC.
BD
CRD#: 34643
NEW LENOX, IL
Past
September 21, 2010 - September 1, 2016
VSR FINANCIAL SERVICES, INC.
RIA
CRD#: 14503
NEW LENOX, IL
Past
January 3, 1991 - September 1, 2016
VSR FINANCIAL SERVICES, INC.
BD
CRD#: 14503
NEW LENOX, IL
Past
March 20, 1990 - November 23, 1990
CETERA FINANCIAL SPECIALISTS LLC
BD
CRD#: 10358
SCHAUMBURG, IL
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
Colorado(11/22/2023)
RR
Florida(7/16/2024)
RR
Illinois(9/20/2019)
IAR
Illinois(6/29/2023)
RR
Indiana(10/20/2021)
RR
Michigan(3/15/2022)
RR
North Carolina(9/20/2019)
RR
Oklahoma(6/24/2025)
RR
West Virginia(9/20/2019)
RR
Wisconsin(11/6/2025)
Exams
State Security Law Exam
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
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
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.
