RA
Robert E. Aiken
CETERA INVESTMENT ADVISERS LLC | Branch Manager
Salisbury, NC 28144
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CRD#: 2237594
RA
Professional summary
Robert Eugene Aiken is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Salisbury, North Carolina and CETERA WEALTH SERVICES, LLC located in Salisbury, North Carolina.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Robert has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 9, Series 10 and Series 8 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: Fixed insurance Investment related: Yes Address: Same as registered location Nature of business: Fixed Insurance Start Date: 03/1996 Apx number of hours per week: 1 Apx number of hours during trading hours: 1 Position/title/relationship: Insurance Agent Brief description of duties: Insurance Sales and Service; 2. Name of other business: Arco Capital Partners Investment related: Yes Address: Same as registered location Nature of business: DBA - branding team name Start date: 05/2015 Position/title/relationship: Founder, Owner and Branch Manager Apx number of hours per week: 40 Apx number of hours during trading hours: 40 Brief description of duties: Providing financial services to clients; 3. Name of other business: REA Systems Investment related: No Address: Same as registered location Nature of business: LLC established for accounting purposes Start date: 05/2015 Position/title/relationship: Owner Apx number of hours per week: 1 Apx number of hours during trading hours: 1 Brief description of duties: Manage payments and expenses;
CRS (Client Relationship Summary) - RIA
Click below to view Robert Eugene Aiken'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®
NoneExperience
Current
January 14, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 300 Statesville Blvd, Salisbury, NC 28144RIA
CRD#: 105644
Salisbury, NC
Current
January 14, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 300 Statesville Blvd, Salisbury, NC 28144BD
CRD#: 13572
Salisbury, NC
Past
May 27, 2015 - January 15, 2025
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
SALISBURY, NC
Past
May 22, 2015 - January 15, 2025
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
SALISBURY, NC
Past
June 20, 2002 - May 27, 2015
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
SALISBURY, NC
Past
June 15, 2002 - May 27, 2015
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
SALISBURY, NC
Past
January 28, 2002 - June 20, 2002
WACHOVIA SECURITIES, INC.
RIA
CRD#: 431
GREENSBORO, NC
Past
October 10, 1997 - June 15, 2002
WACHOVIA SECURITIES, INC.
BD
CRD#: 431
CHARLOTTE, NC
Past
September 21, 1993 - October 17, 1997
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
July 31, 1993 - October 7, 1993
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
January 27, 1993 - July 31, 1993
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
July 23, 1992 - August 12, 1992
F.N. WOLF & CO., INC.
BD
CRD#: 13051
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
California(1/14/2025)
RR
Colorado(1/14/2025)
RR
Florida(1/14/2025)
RR
Georgia(1/14/2025)
RR
Kansas(1/14/2025)
RR
Kentucky(1/14/2025)
RR
Maryland(8/25/2025)
RR
Nevada(1/14/2025)
RR
New Jersey(1/14/2025)
RR
New Mexico(1/14/2025)
RR
New York(1/14/2025)
IAR
North Carolina(1/14/2025)
RR
North Carolina(1/17/2025)
RR
South Carolina(1/14/2025)
RR
Tennessee(1/14/2025)
RR
Virginia(1/14/2025)
RR
West Virginia(1/14/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 1/27/1999
General Securities Sales Supervisor Examination (Options Module & General Module)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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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CETERA INVESTMENT ADVISERS LLC
Branch ManagerCRD#: 105644Salisbury, NC 28144TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
