Chris R. Counce

CETERA INVESTMENT ADVISERS LLC

LAKEWOOD, CO 80226

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CRD#: 2227241

Professional summary

Chris R. Counce, who also goes by Chris R Counce, Chris Counce, Christopher R Counce, Christopher Richard Counce, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Lakewood, Colorado and CETERA WEALTH SERVICES, LLC located in Lakewood, Colorado.

Chris is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Chris has worked at 13 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 7, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Chris R Counce | Chris Counce | Christopher R Counce | Christopher Richard Counce

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 ENTITY:BDY LLC; No; 640 S HARRISON ST; DENVER; CO; 80209; ART PRODUCTION; OWNER; 11/5/2014; 8; 0; ART PRODUCTION & SALES OF PRINT ARTWORK| 2. NAME OF ENTITY: INDEPENDENT INSURANCE AGENT; Yes; 165 S WADSWORTH BLVD STE 200; LAKEWOOD; CO; 80226; FIXED INSURANCE SALES; INDEPENDENT INSURANCE AGENT; 2/1/2017; 160; 160; SALE OF FIXED INSURANCE PRODUCTS.| 3. NAME OF ENTITY:PREMIER FINANCIAL BENEFITS; Yes; 165 S WADSWORTH BLVD STE 200; LAKEWOOD; CO; 80226; FINANCIAL SERVICES/DBA; PARTNER; 1/23/2017; 160; 160; SALE OF INSURANCE,SECURITIES AND INVESTMENT PRODUTS.| 4. NAME OF OTHER BUSINESS: ALTITUDE INVESTMENT MANAGEMENT, LLC; INVESTMENT RELATED: YES; ADDRESS: 165 S WADSWORTH BLVD #200 LAKEWOOD, CO 80226; NATURE OF BUSINESS: INVESTMENT MODEL PORTFOLIO MANAGEMENT AND COACHING; START DATE: 3/2022; POSITION/TITLE/RELATIONSHIP: NON MANAGING PARTNER; APX NUMBER OF HOURS PER WEEK: 5 ; APX NUMBER OF HOURS DURING TRADING HOURS: 5 ; BRIEF DESCRIPTION OF DUTIES: MARKETING THE BENEFITS OF ALTITUDE INVESTMENT MGMT. ADVISORY MODEL TO ADVISORS AND THEIR CLIENTS;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Chris R. Counce'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

June 29, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 165 S Wadsworth Blvd Ste 200, Lakewood, CO 80226

RIA

CRD#: 105644

LAKEWOOD, CO

Current

June 9, 2021 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 165 S Wadsworth Blvd Ste 200, Lakewood, CO 80226

CRD#: 13572

LAKEWOOD, CO

Past

June 9, 2021 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

EL SEGUNDO, CA

Past

October 26, 2015 - June 9, 2021

VOYA FINANCIAL ADVISORS, INC.

RIA

CRD#: 2882

LAKEWOOD, CO

Past

May 7, 2015 - June 9, 2021

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

LAKEWOOD, CO

Past

February 23, 2015 - April 6, 2015

PNC MANAGED ACCOUNT SOLUTIONS, INC.

RIA

CRD#: 110476

DENVER, CO

Past

February 20, 2015 - April 6, 2015

BBVA SECURITIES INC.

CRD#: 27060

ALBUQUERQUE, NM

Past

August 12, 2006 - January 21, 2015

BANCWEST INVESTMENT SERVICES, INC.

RIA

CRD#: 29357

LOS ANGELES, CA

Past

August 12, 2006 - January 21, 2015

BANCWEST INVESTMENT SERVICES, INC.

CRD#: 29357

LOS ANGELES, CA

Past

July 14, 2003 - August 12, 2006

INVEST FINANCIAL CORPORATION

RIA

CRD#: 12984

DENVER, CO

Past

July 10, 2003 - August 12, 2006

INVEST FINANCIAL CORPORATION

CRD#: 12984

DENVER, CO

Past

April 11, 2003 - July 10, 2003

WELLS FARGO INVESTMENTS, LLC

RIA

CRD#: 10582

DENVER, CO

Past

January 3, 2002 - July 10, 2003

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

SAN FRANCISCO, CA

Past

January 20, 2000 - December 21, 2001

COREBRIDGE CAPITAL SERVICES, INC.

CRD#: 13158

JERSEY CITY, NJ

Past

April 4, 1997 - October 15, 1999

MAGNA INVESTMENTS

CRD#: 16511

ST. LOUIS, MO

Past

June 22, 1993 - April 8, 1997

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

November 16, 1992 - April 1, 1993

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

June 8, 1992 - September 17, 1992

HIBBARD BROWN & CO., INC.

CRD#: 18246

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".

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
(1/8/2024)

Arizona
(6/9/2021)

Arkansas
(6/9/2021)

Colorado
(6/9/2021)

IAR

Colorado
(6/29/2023)

Florida
(6/10/2021)

Georgia
(6/9/2021)

Idaho
(6/9/2021)

Minnesota
(6/9/2021)

Mississippi
(1/8/2024)

Missouri
(6/9/2021)

New Mexico
(1/9/2024)

North Carolina
(1/8/2024)

Oklahoma
(6/9/2021)

Oregon
(4/17/2023)

Pennsylvania
(12/2/2022)

South Dakota
(2/8/2024)

Virgin Islands
(2/5/2024)

Virginia
(3/20/2023)

West Virginia
(5/14/2024)

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: 4/10/2003

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 6/12/1992

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: 6/5/1992

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 6/28/2007

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 12/18/2003

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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Advisor Monitoring

Firm Stability Insights

Chris R. Counce

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Chris R. Counce's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

PNC MANAGED ACCOUNT SOLUTIONS, INC.

BBVA SECURITIES INC.

BANCWEST INVESTMENT SERVICES, INC.

BANCWEST INVESTMENT SERVICES, INC.

INVEST FINANCIAL CORPORATION

INVEST FINANCIAL CORPORATION

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO INVESTMENTS, LLC

COREBRIDGE CAPITAL SERVICES, INC.

MAGNA INVESTMENTS

MORGAN STANLEY DW INC.

UBS FINANCIAL SERVICES INC.

HIBBARD BROWN & CO., INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/10/2003

Series 63

Date: 6/12/1992

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 6/5/1992

Series 53

Date: 6/28/2007

Series 24

Date: 12/18/2003

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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