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BM

Beth B. Morgan

CETERA INVESTMENT ADVISERS
ALPHARETTA, GA 30005
Some features on this profile are disabled
CRD#: 2318102
BM

Professional summary

Beth Buckley Morgan, CPWA®, who also goes by Beth Ellison Buckley, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Alpharetta, Georgia and CETERA ADVISORS LLC located in Alpharetta, Georgia.

Beth is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Beth has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Beth Ellison Buckley

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 Beth Buckley Morgan'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®
CPWA®

Certified Private Wealth Advisor

Start date: 2022-11-08

Expire date: 2024-10-31

Experience

Current

July 1, 2024 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 5900 Windward Parkway Suite 120, Alpharetta, GA 30005
RIA
CRD#: 105644
ALPHARETTA, GA
Current

July 1, 2024 - Present

CETERA ADVISORS LLC

Office #1: 5900 Windward Parkway Suite 120, Alpharetta, GA 30005
BD
CRD#: 10299
Alpharetta, GA
Past

March 17, 2003 - July 5, 2024

LPL FINANCIAL LLC

RIA
CRD#: 6413
ATLANTA, GA
Past

September 10, 2002 - July 5, 2024

LPL FINANCIAL LLC

BD
CRD#: 6413
ATLANTA, GA
Past

July 3, 2002 - September 19, 2002

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
KENNESAW, GA
Past

June 15, 2002 - September 19, 2002

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

February 14, 2000 - June 15, 2002

WACHOVIA SECURITIES, INC.

BD
CRD#: 431
CHARLOTTE, NC
Past

July 8, 1997 - February 14, 2000

WACHOVIA BROKERAGE SERVICE

BD
CRD#: 17503
WINSTON SALEM, NC
Past

July 31, 1993 - July 2, 1997

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

March 16, 1993 - July 31, 1993

LEHMAN BROTHERS INC.

BD
CRD#: 7506
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
Arizona
(7/1/2024)
RR
Florida
(7/1/2024)
RR
Georgia
(7/1/2024)
IAR
Georgia
(7/2/2024)
RR
Kentucky
(7/1/2024)
RR
Michigan
(7/1/2024)
RR
North Carolina
(7/5/2024)
RR
Ohio
(7/1/2024)
RR
Pennsylvania
(7/1/2024)
IAR
Texas
(7/1/2024)
RR
Texas
(2/19/2026)

Exams

State Security Law Exam
IAR
Series 65
Date: 2/17/1993
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 2/12/1993
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 7
Date: 2/3/1993
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/5/2002
General Securities Principal 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)
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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#: 105644Alpharetta, GA 30005

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Contact information

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