RC
Robert V. Carr
CETERA INVESTMENT ADVISERS LLC
Lakewood Ranch, FL 34202
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CRD#: 2184775
RC
Professional summary
Robert Vernon Carr JR is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Lakewood Ranch, Florida and CETERA ADVISORS LLC located in Lakewood Ranch, Florida.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Robert has worked at 8 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 62, Series 6 and Series 24 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) RETIREMENT STRATEGIES OF MD, LLC; DBA; PRINCIPAL; PART TIME; 5 HOURS/ WEEK; STARTED 02/1999
2) RETIREMENT STRATEGIES OF AMERICAN, LLC; REGISTERED PRINCIPAL; DBA; START DATE: 12/01/2017; 160 HOURS PER MONTH.
3) 55 PLUS TAX PROS; MANAGING MEMBER; CERTIFIED PUBLIC ACCOUNTANT; START DATE 01/01/2021; 20 HOURS PER MONTH.
CRS (Client Relationship Summary) - RIA
Click below to view Robert Vernon Carr JR'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
October 23, 2020 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 9015 Town Center Parkway, Suite 111, Lakewood Ranch, FL 34202RIA
CRD#: 105644
Lakewood Ranch, FL
Current
September 8, 2022 - Present
CETERA ADVISORS LLC
Office #1: 9015 Town Center Parkway, Suite 111, Lakewood Ranch, FL 34202BD
CRD#: 10299
Lakewood Ranch, FL
Past
March 3, 2014 - November 12, 2020
FIRST ALLIED ADVISORY SERVICES, INC.
RIA
CRD#: 137888
Sarasota, FL
Past
March 3, 2014 - September 8, 2022
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
Lakewood Ranch, FL
Past
September 9, 1999 - March 4, 2014
NATIONAL PLANNING CORPORATION
RIA
CRD#: 29604
TOWSON, MD
Past
August 30, 1999 - March 4, 2014
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
TOWSON, MD
Past
January 26, 1998 - August 31, 1999
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
WINDSOR, CT
Past
May 5, 1992 - January 26, 1998
ADVANTAGE CAPITAL CORPORATION
BD
CRD#: 146
ATLANTA, GA
Past
October 15, 1991 - May 6, 1992
THE HOUSE OF SECURITIES COMPANY
BD
CRD#: 2236
FREDERICK, MD
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
Alabama(9/8/2022)
RR
Arizona(9/8/2022)
RR
California(9/8/2022)
RR
Colorado(9/8/2022)
RR
Connecticut(9/8/2022)
RR
Delaware(9/8/2022)
RR
District of Columbia(9/8/2022)
IAR
Florida(10/23/2020)
RR
Florida(9/8/2022)
RR
Georgia(9/8/2022)
RR
Hawaii(9/8/2022)
RR
Illinois(9/8/2022)
RR
Kansas(9/8/2022)
RR
Maryland(9/8/2022)
RR
Michigan(9/8/2022)
RR
Minnesota(9/8/2022)
RR
Missouri(9/8/2022)
RR
Nebraska(9/8/2022)
RR
Nevada(9/8/2022)
RR
New Jersey(9/8/2022)
RR
New Mexico(9/8/2022)
RR
New York(9/8/2022)
RR
North Carolina(9/8/2022)
RR
Ohio(9/8/2022)
RR
Pennsylvania(9/8/2022)
RR
South Carolina(9/8/2022)
RR
Tennessee(9/8/2022)
RR
Texas(9/8/2022)
IAR
Texas(11/3/2022)
RR
Utah(9/8/2022)
RR
Virginia(9/8/2022)
RR
Washington(9/8/2022)
RR
West Virginia(9/8/2022)
RR
Wisconsin(9/8/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 62
Date: 9/8/1994
Corporate Securities Limited Representative ExaminationGeneral Industry/Product Exam
Principal/Supervisory 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.
