Sandra S. Knox

CETERA INVESTMENT ADVISERS LLC

CASTLE ROCK, CO 80104

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CRD#: 2179088

Professional summary

Sandra Seal Knox, who also goes by Sandra Seal Bybee, Sandra Knox, Sandi Seal Koller, Sandie Koller, Sandra Seal Koller, Sandra Seal, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Castle Rock, Colorado and CETERA ADVISORS LLC located in Westborough, Massachusetts.

Sandra is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Sandra has worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 9, Series 10, Series 24 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

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: N/A - SANDRA KNOX; INVESTMENT RELATED: NO; ADDRESS: 4502 COPELAND LOOP UNIT 101 HIGHLANDS RANCH, CO 80126; NATURE OF BUSINESS: RENTAL PROPERTY; START DATE: 03/2024; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 0; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: RENTAL PROPERTY;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sandra Seal Knox'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

March 21, 2024 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 272 Burgess Dr, Castle Rock, CO 80104

RIA

CRD#: 105644

CASTLE ROCK, CO

Current

March 14, 2007 - Present

CETERA ADVISORS LLC

Office #1: 1800 West Park Dr Ste 150, Westborough, MA 01581

CRD#: 10299

Westborough, MA

Past

September 24, 2019 - September 8, 2022

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

SAN DIEGO, CA

Past

February 1, 2013 - June 2, 2015

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

DENVER, CO

Past

February 1, 2013 - June 2, 2015

CETERA FINANCIAL SPECIALISTS LLC

CRD#: 10358

DENVER, CO

Past

February 1, 2013 - June 2, 2015

CETERA WEALTH SERVICES, LLC

CRD#: 13572

DENVER, CO

Past

March 14, 2007 - March 21, 2024

CETERA ADVISORS LLC

RIA

CRD#: 10299

GREENWOOD VILLAGE, IL

Past

July 24, 2003 - December 31, 2003

VESTAX SECURITIES CORPORATION

CRD#: 10332

HUDSON, OH

Past

July 24, 2003 - December 31, 2003

IFG NETWORK SECURITIES, INC.

CRD#: 19948

ATLANTA, GA

Past

April 9, 2003 - July 6, 2006

CETERA ADVISORS LLC

RIA

CRD#: 10299

DENVER, CO

Past

April 9, 2003 - July 6, 2006

CETERA ADVISORS LLC

CRD#: 10299

DENVER, CO

Past

November 8, 2001 - May 31, 2002

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

DENVER, CO

Past

October 24, 2001 - May 31, 2002

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

December 19, 2000 - June 29, 2001

AUERBACH, POLLAK & RICHARDSON INC.

CRD#: 29824

STAMFORD, CT

Past

January 20, 2000 - December 19, 2000

AMERICAN FRONTEER FINANCIAL CORPORATION

CRD#: 1398

DENVER, CO

Past

April 9, 1996 - April 4, 2000

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

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
(4/22/2025)

Alaska
(4/22/2025)

Arizona
(4/22/2025)

Arkansas
(4/22/2025)

California
(3/14/2007)

Colorado
(3/14/2007)

IAR

Colorado
(3/21/2024)

Connecticut
(4/22/2025)

Delaware
(4/22/2025)

District of Columbia
(4/22/2025)

Florida
(4/22/2025)

Georgia
(4/22/2025)

Hawaii
(4/22/2025)

Idaho
(4/22/2025)

Illinois
(4/22/2025)

Indiana
(4/22/2025)

Iowa
(4/22/2025)

Kansas
(4/22/2025)

Kentucky
(4/22/2025)

Louisiana
(4/22/2025)

Maine
(4/22/2025)

Maryland
(4/22/2025)

Massachusetts
(4/22/2025)

Michigan
(4/22/2025)

Minnesota
(4/22/2025)

Mississippi
(4/22/2025)

Missouri
(4/22/2025)

Montana
(4/22/2025)

Nebraska
(4/22/2025)

Nevada
(4/22/2025)

New Hampshire
(4/22/2025)

New Jersey
(4/22/2025)

New Mexico
(4/22/2025)

New York
(4/22/2025)

North Carolina
(4/23/2025)

North Dakota
(4/22/2025)

Ohio
(4/23/2025)

Oklahoma
(4/22/2025)

Oregon
(4/22/2025)

Pennsylvania
(4/22/2025)

Rhode Island
(4/22/2025)

South Carolina
(4/22/2025)

South Dakota
(4/22/2025)

Tennessee
(4/22/2025)

Texas
(4/22/2025)

IAR

Texas
(4/22/2025)

Utah
(4/22/2025)

Vermont
(4/22/2025)

Virginia
(4/22/2025)

Washington
(4/22/2025)

West Virginia
(4/22/2025)

Wisconsin
(4/22/2025)

Wyoming
(4/22/2025)

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: 11/28/2000

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 4/23/1996

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: 4/8/1996

General Securities Representative Examination

Principal/Supervisory Exam

Series 9

Date: 1/2/2023

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 1/2/2023

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 24

Date: 4/28/2000

General Securities Principal Examination

Principal/Supervisory Exam

Series 8

Date: 2/3/1999

General Securities Sales Supervisor Examination (Options Module & General Module)

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

Sandra S. Knox

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sandra Seal Knox's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA ADVISORS LLC

FIRST ALLIED SECURITIES, INC.

CETERA INVESTMENT SERVICES LLC

CETERA FINANCIAL SPECIALISTS LLC

CETERA WEALTH SERVICES, LLC

CETERA ADVISORS LLC

VESTAX SECURITIES CORPORATION

IFG NETWORK SECURITIES, INC.

CETERA ADVISORS LLC

CETERA ADVISORS LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

AUERBACH, POLLAK & RICHARDSON INC.

AMERICAN FRONTEER FINANCIAL CORPORATION

WELLS FARGO CLEARING SERVICES, LLC

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/28/2000

Series 63

Date: 4/23/1996

SIE

Date: 10/1/2018

Series 7

Date: 4/8/1996

Series 9

Date: 1/2/2023

Series 10

Date: 1/2/2023

Series 24

Date: 4/28/2000

Series 8

Date: 2/3/1999

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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