AS
Anthony J. Schau
CETERA INVESTMENT ADVISERS LLC
IOWA CITY, IA 52240
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CRD#: 2224824
AS
Professional summary
Anthony James Schau, CFP®, who also goes by Anthony J Schau, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Iowa City, Iowa and CETERA WEALTH SERVICES, LLC located in Iowa City, Iowa.
Anthony is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Anthony has worked at 5 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Anthony J Schau
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. NORTH STAR CONSULTANTS & NORTH STAR BROKERAGE POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 06/01/2011 ADDRESS: , Minneapolis MN , United States DESCRIPTION: Agent/Broker; 2. NAME OF OTHER BUSINESS: NORTH STAR RESOURCE GROUP, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 08/2023, POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 1, APX NUMBER OF HOURS DURING TRADING HOURS: 1, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 3. NAME OF OTHER BUSINESS: AJS LLC; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: ENTITY FOR TAX PURPOSES; START DATE:12/2024; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: ENTITY TO PAY ADVISORY FEES;
CRS (Client Relationship Summary) - RIA
Click below to view Anthony James Schau'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: 2010
Experience
Current
August 10, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 209 East Washington St St 300, Iowa City, IA 52240RIA
CRD#: 105644
IOWA CITY, IA
Current
August 10, 2023 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 209 East Washington Street Suite 300, Iowa City, IA 52240BD
CRD#: 13572
IOWA CITY, IA
Past
July 19, 2007 - October 18, 2021
CRI SECURITIES, LLC
RIA
CRD#: 22589
IOWA CITY, IA
Past
July 19, 2007 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.
RIA
CRD#: 15296
IOWA CITY, IA
Past
October 9, 2003 - December 31, 2007
MARATHON ADVISORS, INC
RIA
CRD#: 113696
IOWA CITY, IA
Past
April 23, 1992 - October 18, 2021
CRI SECURITIES, LLC
BD
CRD#: 22589
IOWA CITY, IA
Past
April 23, 1992 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
IOWA CITY, IA
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
Alaska(8/10/2023)
RR
Arizona(8/10/2023)
RR
Arkansas(8/1/2024)
RR
California(8/10/2023)
RR
Colorado(8/10/2023)
RR
Delaware(8/10/2023)
RR
District of Columbia(11/30/2023)
RR
Florida(8/11/2023)
RR
Georgia(8/10/2023)
RR
Idaho(8/10/2023)
RR
Illinois(8/10/2023)
RR
Indiana(8/10/2023)
RR
Iowa(8/10/2023)
IAR
Iowa(8/10/2023)
RR
Kansas(8/10/2023)
RR
Kentucky(4/12/2024)
RR
Louisiana(8/10/2023)
RR
Maryland(8/10/2023)
RR
Massachusetts(8/10/2023)
RR
Michigan(8/10/2023)
RR
Minnesota(8/10/2023)
RR
Missouri(8/10/2023)
RR
Montana(8/10/2023)
RR
Nebraska(8/10/2023)
RR
New Jersey(8/10/2023)
RR
New Mexico(8/10/2023)
RR
New York(8/10/2023)
RR
North Carolina(8/10/2023)
RR
North Dakota(8/10/2023)
RR
Ohio(8/10/2023)
RR
Oregon(8/10/2023)
RR
Pennsylvania(8/10/2023)
RR
South Dakota(8/10/2023)
RR
Tennessee(8/10/2023)
RR
Texas(8/10/2023)
IAR
Texas(8/10/2023)
RR
Virginia(8/10/2023)
RR
Washington(8/10/2023)
RR
Wisconsin(8/10/2023)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General 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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Iowa City, IA 52240TRUST BUT VERIFY
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