JP
Jeffrey A. Prentice
CETERA INVESTMENT ADVISERS LLC
OSWEGO, IL 60543
Some features on this profile are disabled
CRD#: 2333374
JP
Professional summary
Jeffrey Allen Prentice, CFP®, ChFC®, CLU®, who also goes by Jeff A Prentice, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Oswego, Illinois and CETERA WEALTH SERVICES, LLC located in Oswego, Illinois.
Jeffrey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Jeffrey has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jeff A Prentice
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. PRENTICE FINANCIAL SERVICES POSITION: Owner NATURE: DBA INVESTMENT RELATED: No NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 40 START DATE: 10/01/2017 ADDRESS: , Oswego IL , United States DESCRIPTION: Owner 2. SAMA FIXED INSURANCE POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 03/16/2023 ADDRESS: 1327 Boyson Road, Hiawatha IA 52233, United States DESCRIPTION: Fixed insurance sales through general brokerage agency; 3. NAME OF OTHER BUSINESS: EBSP LLC, INVESTMENT RELATED: NO, ADDRESS: 74 STONEHILL RD, OSWEGO, IL, 60543, NATURE OF BUSINESS: REAL ESTATE, START DATE: 03/2006, POSITION/TITLE/RELATIONSHIP: OWNER/MANAGING MEMBER, LESS THAN ONE HOUR PER WEEK, NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: LLC THAT OWNS A VACANT PIECE OF PROPERTY; 4. NAME OF OTHER BUSINESS: LIFE SETTLEMENT BUSINESS; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: LIFE SETTLEMENT; START DATE: 09/2024; APX NUMBER OF HOURS PER WEEK: VARIES; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: LIFE SETTLEMENTS WITH CETERA APPROVED VENDORS.
CRS (Client Relationship Summary) - RIA
Click below to view Jeffrey Allen Prentice'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®
CFP®
Start date: 1998
Experience
Current
August 10, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 37f Stonehill Rd, Oswego, IL 60543Office #2: 4652 E Firestone Drvie, Chandler, AZ 85249RIA
CRD#: 105644
OSWEGO, IL
Current
August 10, 2023 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 37f Stonehill Road, Oswego, IL 60543BD
CRD#: 13572
Oswego, IL
Past
January 9, 1996 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.
RIA
CRD#: 15296
OSWEGO, IL
Past
April 8, 1993 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
OSWEGO, IL
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(8/10/2023)
RR
California(8/10/2023)
RR
Colorado(8/10/2023)
RR
Florida(8/11/2023)
RR
Georgia(8/10/2023)
RR
Hawaii(8/10/2023)
RR
Illinois(8/10/2023)
IAR
Illinois(8/10/2023)
RR
Indiana(8/10/2023)
RR
Iowa(8/10/2023)
RR
Kansas(8/10/2023)
RR
Kentucky(8/10/2023)
RR
Michigan(8/10/2023)
RR
Minnesota(8/10/2023)
RR
Mississippi(2/5/2025)
RR
Missouri(8/10/2023)
RR
Montana(2/5/2025)
RR
Nebraska(8/10/2023)
RR
Ohio(8/10/2023)
RR
Oklahoma(8/10/2023)
RR
South Carolina(8/10/2023)
RR
Tennessee(8/10/2023)
RR
Texas(8/10/2023)
IAR
Texas(8/10/2023)
RR
Utah(8/10/2023)
RR
Virginia(8/10/2023)
RR
Wisconsin(8/10/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
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
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)
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
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.
