DH
Dennis M. Hellwig
CETERA INVESTMENT ADVISERS LLC
Houston, TX 77002-8841
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CRD#: 2028988
DH
Professional summary
Dennis Michael Hellwig is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Houston, Texas and CETERA WEALTH SERVICES, LLC located in Houston, Texas.
Dennis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Dennis has worked at 9 firms and has passed the Series 65, 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. Name of other business: North Ridge Wealth Planning LLC Investment related: Yes Address: Same as registered location Nature of business: Financial Services Marketing Name Start Date: 01/2025 Apx number of hours per week:40 Apx number of hours during trading hours:40 Position/title/relationship: Financial Professional Brief description of duties: Financial Sales and Service; 2. Name of other business: Charles Lawson Baur Foundation Investment related: No Address: Same as residential address Nature of business: Charitable Foundation Start Date: 01/2016 Apx number of hours per week: .1 Apx number of hours during trading hours:0 Position/title/relationship: President Brief description of duties: Locate eligible candidates for charitable donations;
CRS (Client Relationship Summary) - RIA
Click below to view Dennis Michael Hellwig'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 30, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 1218 Webster Street, Houston, TX 77002-8841RIA
CRD#: 105644
Houston, TX
Current
January 27, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 1218 Webster Street, Houston, TX 77002BD
CRD#: 13572
Houston, TX
Past
November 10, 2024 - January 30, 2025
OSAIC WEALTH, INC.
RIA
CRD#: 23131
HOUSTON, TX
Past
October 11, 2024 - January 30, 2025
OSAIC WEALTH, INC.
BD
CRD#: 23131
HOUSTON, TX
Past
October 21, 2009 - October 11, 2024
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
BD
CRD#: 18487
CLIFTON PARK, NY
Past
July 1, 2003 - October 22, 2009
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
SARATOGA SPRINGS, NY
Past
April 6, 2001 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
January 3, 1997 - April 9, 2001
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
August 20, 1993 - January 22, 1997
CIBC WORLD MARKETS CORP.
BD
CRD#: 630
NEW YORK, NY
Past
November 2, 1990 - August 25, 1993
MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC.
BD
CRD#: 7404
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".
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(2/5/2025)
RR
Connecticut(1/28/2025)
RR
Florida(1/28/2025)
RR
Georgia(1/28/2025)
RR
Maryland(2/10/2025)
RR
Massachusetts(1/28/2025)
RR
New Jersey(1/27/2025)
RR
New York(1/28/2025)
RR
South Carolina(1/30/2025)
RR
Tennessee(1/28/2025)
RR
Texas(1/28/2025)
IAR
Texas(1/30/2025)
RR
Virginia(1/27/2025)
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.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Houston, TX 77002-8841TRUST BUT VERIFY
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