JN
Jeffrey A. Nelson
CETERA INVESTMENT ADVISERS LLC
CARROLL, IA 51401
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CRD#: 2140961
JN
Professional summary
Jeffrey Alan Nelson, who also goes by Jeff Nelson, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Carroll, Iowa and CETERA WEALTH SERVICES, LLC located in Carroll, Iowa.
Jeffrey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Jeffrey has worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jeff Nelson
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: JT HAWK HOLDINGS,
INVESTMENT RELATED: NO,
NATURE OF BUSINESS: RENTAL PROPERTY,
POSITION/TITLE/RELATIONSHIP: OWNER,
START DATE: 12/09,
APPROX NUMBER OF HOURS PER MONTH: 1;
2. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES,
INVESTMENT RELATED: YES,
POSITION/TITLE/RELATIONSHIP: REPRESENTATIVE,
BRIEF DESCRIPTION OF DUTIES: SELLS FIXED LIFE AND ANNUITIES;
3. NAME OF OTHER BUSINESS: UNITED BANK OF IOWA,
INVESTMENT RELATED: YES,
NATURE OF BUSINESS: BANKING,
POSITION/TITLE/RELATIONSHIP: REPRESENTATIVE,
BRIEF DESCRIPTION OF DUTIES: PROVIDE FINANCIAL SERVICES TO BANK CLIENTS;
4.NAME OF OTHER BUSINESS:UNITED BANK OF IOWA-DBA UNITED INSURANCE & INVESTMENTS
INVESTMENT RELATED: YES
ADDRESS: SAME AS REGISTERED LOCATION
NATURE OF BUSINESS: BANKING
POSITION/TITLE/RELATIONSHIP: REGISTERED REPRESENTATIVE
START DATE: 01/26/2016
APX NUMBER OF HOURS PER WEEK: 40
APX NUMBER OF HOURS DURING TRADING HOURS: 32.5
BRIEF DESCRIPTION OF DUTIES: INSURANCE & INVESTMENTS REPRESENTATIVE
CRS (Client Relationship Summary) - RIA
Click below to view Jeffrey Alan Nelson'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: 609 N. Clark Street, Carroll, IA 51401Office #2: 435 1st Street S., Charter Oak, IA 51439Office #3: 501 2nd St, Ida Grove, IA 51445Office #4: 201 N Center St, Lake City, IA 51449RIA
CRD#: 105644
CARROLL, IA
Current
March 26, 2003 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 609 N. Clark Street, Carroll, IA 51401BD
CRD#: 13572
Carroll, IA
Past
March 28, 2003 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
LAKE CITY, IA
Past
February 25, 2002 - March 27, 2003
LOCUST STREET SECURITIES, INC.
RIA
CRD#: 1703
CARROLL, IA
Past
January 14, 2000 - September 6, 2002
VESTAX SECURITIES CORPORATION
RIA
CRD#: 10332
CARROLL, IA
Past
December 22, 1999 - March 27, 2003
LOCUST STREET SECURITIES, INC.
BD
CRD#: 1703
DES MOINES, IA
Past
February 4, 1994 - December 20, 1999
VSR FINANCIAL SERVICES, INC.
BD
CRD#: 14503
OVERLAND PARK, KS
Past
June 24, 1991 - January 12, 1994
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
June 24, 1991 - January 12, 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
Arizona(1/12/2022)
RR
Arkansas(1/10/2023)
RR
Colorado(3/11/2014)
RR
Iowa(3/26/2003)
IAR
Iowa(6/29/2023)
RR
Minnesota(8/4/2020)
RR
Mississippi(1/13/2021)
RR
Nebraska(1/6/2006)
RR
South Carolina(8/1/2022)
Exams
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
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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#: 105644Carroll, IA 51401TRUST BUT VERIFY
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