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AW

Arthur D. Wharton

CETERA INVESTMENT ADVISERS
HUNTSVILLE, TX 77340
Some features on this profile are disabled
CRD#: 2275591
AW

Professional summary

Arthur Dickson Wharton III, who also goes by Trey Wharton, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Huntsville, Texas and CETERA INVESTMENT SERVICES LLC located in Huntsville, Texas.

Arthur is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Arthur has worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Trey Wharton

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Arthur Dickson Wharton III'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

February 25, 2020 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 1300 11th St Ste 430, Huntsville, TX 77340
RIA
CRD#: 105644
HUNTSVILLE, TX
Current

February 25, 2020 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 1300 11th St Ste 630, Huntsville, TX 77340
BD
CRD#: 15340
Huntsville, TX
Past

November 2, 2018 - December 10, 2019

OSAIC WEALTH, INC.

RIA
CRD#: 23131
HUNTSVILLE, TX
Past

November 2, 2018 - December 10, 2019

OSAIC WEALTH, INC.

BD
CRD#: 23131
HUNTSVILLE, TX
Past

June 14, 2017 - November 2, 2018

SIGNATOR INVESTORS, INC.

RIA
CRD#: 468
HUNTSVILLE, TX
Past

December 28, 2015 - November 2, 2018

SIGNATOR INVESTORS, INC.

BD
CRD#: 468
HUNTSVILLE, TX
Past

December 19, 2002 - December 28, 2015

SIGNATOR FINANCIAL SERVICES, INC.

BD
CRD#: 19061
HUNTSVILLE, TX
Past

February 11, 2002 - March 2, 2002

SIGMA FINANCIAL CORPORATION

BD
CRD#: 14303
ANN ARBOR, MI
Past

February 9, 2002 - December 18, 2002

PARKLAND SECURITIES, LLC

BD
CRD#: 115368
ANN ARBOR, MI
Past

February 11, 1998 - February 9, 2002

WALNUT STREET SECURITIES, INC.

BD
CRD#: 15840
EL SEGUNDO, CA
Past

November 12, 1992 - January 22, 1998

NYLIFE SECURITIES LLC

BD
CRD#: 5167
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".
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
Louisiana
(2/25/2020)
RR
Texas
(2/25/2020)
IAR
Texas
(2/25/2020)

Exams

State Security Law Exam
IAR
Series 65
Date: 6/8/2017
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/6/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 11/6/1992
Investment Company Products/Variable Contracts Representative Examination
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)
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Regulatory assets under management

Total Number of Accounts584,487
AUM (Assets Under Management)$ 163,792,814,520

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
10/27/2025
Cover Page
Report
12/13/2024
Cover Page
Report
09/26/2023
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.

Company Information

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644Huntsville, TX 77340

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