Benjamin Disalle

CETERA INVESTMENT ADVISERS LLC

WESTMINSTER, CO 80031

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CRD#: 2030953

Professional summary

Benjamin Disalle JR, who also goes by Ben Disalle Jr, Benjamin Disalle, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Westminster, Colorado and CETERA WEALTH SERVICES, LLC located in Westminster, Colorado.

Benjamin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Benjamin has worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Ben Disalle Jr | Benjamin Disalle

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) THE FINANCIAL RETIREMENT GROUP INC; INVESTMENT RELATED; SAME ADDRESS AS REGISTERED BRANCH; DBA; TREASURER; 10/06/2015; APPX 2 HOURS/MONTH; APPX 0 HOURS/MONTH DURING TRADING; USE THE DBA TO SIGN CONTRACTS, PAY FEES, AND MONTHLY BILLS (2) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES ; INVESTMENT RELATED: YES ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 01/2021 ; APX NUMBER OF HOURS PER WEEK: LESS THAN 1; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, ANNUITIES AND LONG TERM CARE ;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Benjamin Disalle JR's CRS (Customer Relationship Summary).

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®

None

Experience

Current

June 29, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 8471 Turnpike Dr Ste 115, Westminster, CO 80031

RIA

CRD#: 105644

WESTMINSTER, CO

Current

September 20, 2019 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 8774 Yates Dr Suite 130, Westminster, CO 80031

CRD#: 13572

Westminster, CO

Past

May 20, 2021 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

EL SEGUNDO, CA

Past

January 29, 2018 - May 20, 2021

SUMMIT FINANCIAL GROUP INC

RIA

CRD#: 109485

West Minster, CO

Past

September 2, 2015 - September 20, 2019

SUMMIT BROKERAGE SERVICES, INC.

CRD#: 34643

West Minster, CO

Past

September 30, 2002 - December 4, 2015

J.P. TURNER & COMPANY, L.L.C.

CRD#: 43177

WEST MINSTER, CO

Past

December 18, 1997 - September 30, 2002

SCHNEIDER SECURITIES, INC.

CRD#: 16434

DENVER, CO

Past

June 13, 1994 - January 8, 1998

AMERICAN FRONTEER FINANCIAL CORPORATION

CRD#: 1398

DENVER, CO

Past

January 21, 1994 - June 15, 1994

PAULSON INVESTMENT COMPANY LLC

CRD#: 5670

PORTLAND, OR

Past

February 8, 1993 - January 24, 1994

WALFORD & COMPANY, INC.

CRD#: 30720

Past

November 21, 1991 - March 3, 1993

DICKINSON & CO.

CRD#: 689

DES MOINES, IA

Past

January 24, 1991 - November 21, 1991

NTB FINANCIAL CORPORATION

CRD#: 7425

HIGHLANDS RANCH, CO

Past

January 14, 1991 - February 22, 1991

MALONE & ASSOCIATES, INC.

CRD#: 10412

DENVER, CO

Past

February 16, 1990 - July 16, 1990

MALONE & ASSOCIATES, INC.

CRD#: 10412

DENVER, CO

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".

CETERA INVESTMENT ADVISERS LLC

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.

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

Alabama
(9/23/2024)

Arizona
(9/20/2019)

Arkansas
(9/20/2019)

California
(9/20/2019)

Colorado
(9/20/2019)

IAR

Colorado
(6/29/2023)

Florida
(9/21/2019)

Georgia
(9/20/2019)

Indiana
(9/20/2019)

Kansas
(9/20/2019)

Maine
(12/3/2019)

Massachusetts
(9/20/2019)

Michigan
(9/20/2019)

Minnesota
(9/20/2019)

Nebraska
(9/20/2019)

New Mexico
(9/20/2019)

North Carolina
(9/20/2019)

Ohio
(9/26/2019)

Oregon
(9/20/2019)

South Dakota
(9/20/2019)

Tennessee
(9/20/2019)

Texas
(9/20/2019)

IAR

Texas
(6/29/2023)

Utah
(9/20/2019)

Virginia
(1/20/2022)

Washington
(9/20/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 1/9/2018

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 6/15/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/10/1990

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/18/2006

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

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	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Benjamin Disalle

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Benjamin Disalle JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

SUMMIT FINANCIAL GROUP INC

SUMMIT BROKERAGE SERVICES, INC.

J.P. TURNER & COMPANY, L.L.C.

SCHNEIDER SECURITIES, INC.

AMERICAN FRONTEER FINANCIAL CORPORATION

PAULSON INVESTMENT COMPANY LLC

WALFORD & COMPANY, INC.

DICKINSON & CO.

NTB FINANCIAL CORPORATION

MALONE & ASSOCIATES, INC.

MALONE & ASSOCIATES, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 1/9/2018

Series 63

Date: 6/15/1990

SIE

Date: 10/1/2018

Series 7

Date: 2/10/1990

Series 24

Date: 4/18/2006

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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