Aaron M. Persons

CETERA INVESTMENT ADVISERS LLC

AUSTIN, TX

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CRD#: 2216151

Professional summary

Aaron Matthew Persons is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Austin, Texas and CETERA INVESTMENT SERVICES LLC located in Austin, Texas.

Aaron is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Aaron has worked at 10 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 53 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.) PROVIDES EDUCATIONAL AND NATURE BASED EXPERIENCES FOR FAMILIES AND CHILDREN AT CANDLELIGHT RANCH

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Aaron Matthew Persons'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

July 31, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

Office #2: 6420 E Highway 290, Austin, TX 78723

RIA

CRD#: 105644

AUSTIN, TX

Current

July 31, 2023 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 6420 E Highway 290, Austin, TX 78723

CRD#: 15340

Austin, TX

Past

July 10, 2019 - February 28, 2023

CUSO FINANCIAL SERVICES, L.P.

RIA

CRD#: 42132

Austin, TX

Past

July 10, 2019 - February 28, 2023

CUSO FINANCIAL SERVICES, L.P.

CRD#: 42132

SAN DIEGO, CA

Past

November 24, 2010 - January 25, 2019

CUSO FINANCIAL SERVICES, L.P.

RIA

CRD#: 42132

AUSTIN, TX

Past

November 24, 2010 - January 25, 2019

CUSO FINANCIAL SERVICES, L.P.

CRD#: 42132

AUSTIN, TX

Past

May 2, 2009 - October 1, 2010

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

DALLAS, TX

Past

May 2, 2009 - October 1, 2010

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

DALLAS, TX

Past

April 27, 2006 - May 2, 2009

WAMU INVESTMENTS, INC.

RIA

CRD#: 599

DALLAS, TX

Past

March 15, 2001 - May 2, 2009

WAMU INVESTMENTS, INC.

CRD#: 599

DALLAS, TX

Past

February 9, 1999 - April 1, 2001

BANK UNITED SECURITIES CORP.

CRD#: 30288

HOUSTON, TX

Past

October 16, 1996 - December 3, 1998

GRIFFIN FINANCIAL SERVICES

CRD#: 10823

Past

October 11, 1995 - October 10, 1996

INVEST FINANCIAL CORPORATION

CRD#: 12984

APPLETON, WI

Past

April 15, 1992 - September 13, 1995

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

April 15, 1992 - September 13, 1995

AMERIPRISE FINANCIAL SERVICES, LLC

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".

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

Texas
(7/31/2023)

IAR

Texas
(7/31/2023)

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 65

Date: 4/26/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/13/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/13/1992

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 10/31/2006

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 12/17/1997

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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Firm Stability Insights

Aaron M. Persons

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Aaron Matthew Persons's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

CUSO FINANCIAL SERVICES, L.P.

CUSO FINANCIAL SERVICES, L.P.

CUSO FINANCIAL SERVICES, L.P.

CUSO FINANCIAL SERVICES, L.P.

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

WAMU INVESTMENTS, INC.

WAMU INVESTMENTS, INC.

BANK UNITED SECURITIES CORP.

GRIFFIN FINANCIAL SERVICES

INVEST FINANCIAL CORPORATION

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/26/2006

Series 63

Date: 3/13/1992

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 4/13/1992

Series 53

Date: 10/31/2006

Series 24

Date: 12/17/1997

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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