Trudy L. Leen

CETERA INVESTMENT ADVISERS LLC

Skokie, IL 60077

Some features on this profile are disabled

CRD#: 2235644

Professional summary

Trudy Lynn Leen, AIF® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Skokie, Illinois and CETERA ADVISORS LLC located in Greenwood Village, Colorado.

Trudy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Trudy has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, 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. NAME OF OTHER BUSINESS: ANDERSON, FOE, KENT, MADSEN & ASSOCIATES, LLC DBA PILLAR FINANCIAL GROUP INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 01/2023 POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: PROVIDE ADMINISTRATIVE SERVICES 2. NAME OF OTHER BUSINESS: TRUDY LEEN INVESTMENT RELATED: NO ADDRESS: 10TH & HWY 2 PRIEST RIVER, ID 83856 NATURE OF BUSINESS: RENTAL PROPERTY START DATE: 10/2004 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: LANDLORD DUTIES

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Trudy Lynn Leen'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®

AIF^®

Accredited Investment Fiduciary

Experience

Current

August 29, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 5250 Old Orchard Rd Suite 300, Skokie, IL 60077Office #2: 515 Pine St Ste D, Sandpoint, ID 83864Office #3: 9 Tenth St, Priest River, ID 83856Office #5: 1420 5th Ave Suite 3150, Seattle, WA 98101

RIA

CRD#: 105644

Skokie, IL

Current

August 29, 2025 - Present

CETERA ADVISORS LLC

Office #1: 5299 Dtc Blvd #800, Greenwood Village, CO 80111

RIA

CRD#: 10410

PRIEST RIVER, ID

Past

April 10, 1998 - June 2, 2004

WS GRIFFITH SECURITIES, INC.

CRD#: 10410

HARTFORD, CT

Past

September 3, 1997 - March 26, 1998

U.S. BANCORP INVESTMENTS, INC.

CRD#: 17868

SAINT PAUL, MN

Past

May 13, 1996 - September 3, 1997

U.S. BANCORP SECURITIES

CRD#: 17439

PORTLAND, OR

Past

June 12, 1992 - May 20, 1996

INVEST FINANCIAL CORPORATION

CRD#: 12984

APPLETON, WI

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

Idaho
(8/29/2025)

IAR

Idaho
(8/29/2025)

Illinois
(8/29/2025)

IAR

Illinois
(9/3/2025)

Washington
(9/5/2025)

IAR

Washington
(9/5/2025)

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: 7/1/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/6/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/23/1996

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/6/1992

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/23/1996

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)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

Similar Advisors

Michael Basile

COUNTRY CAPITAL MANAGEMENT COMPANY

Chicago, IL

Louis Paster

UBS FINANCIAL SERVICES INC.

IAR

Chicago, IL

Jaime Villalobos

WILLIAM BLAIR

IAR

Chicago, IL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Trudy L. Leen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Trudy Lynn Leen's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA ADVISORS LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

NATIONAL PLANNING CORPORATION

NATIONAL PLANNING CORPORATION

CETERA INVESTMENT ADVISERS LLC

CETERA INVESTMENT SERVICES LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

WS GRIFFITH SECURITIES, INC.

WS GRIFFITH SECURITIES, INC.

WS GRIFFITH SECURITIES, INC.

U.S. BANCORP INVESTMENTS, INC.

U.S. BANCORP SECURITIES

INVEST FINANCIAL CORPORATION

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/1/1999

Series 63

Date: 6/6/1992

SIE

Date: 10/1/2018

Series 7

Date: 9/23/1996

Series 6

Date: 6/6/1992

Series 24

Date: 12/23/1996

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

Contact information

Similar Advisors