SB
Suzanne E. Baxter
CETERA INVESTMENT ADVISERS LLC
OKLAHOMA CITY, OK 73120
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CRD#: 2189917
SB
Professional summary
Suzanne Eileen Baxter, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Oklahoma City, Oklahoma and CETERA WEALTH SERVICES, LLC located in Oklahoma City, Oklahoma.
Suzanne is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Suzanne has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
What are your service offerings?
Long-term Care
Education Planning
Retirement Planning
Comprehensive Financial Planni...
Employee and Employer Plan Ben...
Small Business Planning
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: DBA PINNACLE WEALTH MANAGEMENT INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: INVESTMENT ADVISOR START DATE: 04/01/2013 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 30 BRIEF DESCRIPTION OF DUTIES: CERTIFIED FINANCIAL PLANNER 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: 6/2018 APX NUMBER OF HOURS PER WEEK: VARIES APX NUMBER OF HOURS DURING TRADING HOURS: VARIES POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, AND LONG TERM CARE 3. NAME OF OTHER BUSINESS: TACTUS, INC.; INVESTMENT RELATED: NO; ADDRESS: 1001 NW 25TH ST OKLAHOMA CITY, OK 73106; NATURE OF BUSINESS: NON PROFIT BOARD; START DATE: 07/2023; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER/TREASURER; APX NUMBER OF HOURS PER WEEK: LESS THAN 1 ; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1 ; BRIEF DESCRIPTION OF DUTIES: PREPARE REPORTS, RECONCILE BANK ACCOUNTS, OVERSIGHT, IMPLEMENT POLICY;
CRS (Client Relationship Summary) - RIA
Click below to view Suzanne Eileen Baxter'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®
CFP®
Start date: 1996
Experience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 4131 Nw 122nd Street Suite 150, Oklahoma City, OK 73120RIA
CRD#: 105644
OKLAHOMA CITY, OK
Current
March 9, 2001 - Present
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
OKLAHOMA CITY, OK
Past
June 12, 2001 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
OKLAHOMA CITY, OK
Past
September 3, 1996 - March 2, 2001
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
ST. CLOUD, MN
Past
September 13, 1994 - September 10, 1996
CENTURY INVESTMENT GROUP INCORPORATED
BD
CRD#: 36254
SAN DIEGO, CA
Past
October 7, 1993 - May 24, 1994
PAS, INC.
BD
CRD#: 8180
Past
December 22, 1992 - October 1, 1993
THE ADVISORS GROUP, INC.
BD
CRD#: 14035
BETHESDA, MD
Past
November 14, 1991 - January 6, 1993
NYLIFE SECURITIES LLC
BD
CRD#: 5167
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
Arkansas(8/1/2016)
RR
California(3/9/2001)
RR
Colorado(7/31/2024)
RR
Louisiana(5/21/2020)
RR
Oklahoma(3/9/2001)
IAR
Oklahoma(6/29/2023)
RR
Texas(3/9/2001)
IAR
Texas(6/29/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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
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Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Oklahoma City, OK 73120TRUST BUT VERIFY
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Contact information
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