VU
Vernon E. Unger
CETERA INVESTMENT ADVISERS LLC
ALPHARETTA, GA
Some features on this profile are disabled
CRD#: 2361113
VU
Professional summary
Vernon Edwin Unger III, who also goes by Ed Unger III, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Alpharetta, Georgia and CETERA WEALTH SERVICES, LLC located in Alpharetta, Georgia.
Vernon is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Vernon has worked at 7 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ed Unger Iii
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) ED UNGER & ASSOCIATES; Investment Related; Alpharetta, GA; Insurance; Agent; Start Date 09/1999; 2 hours per month, more or less, with those hours per month occurring during trading hours; Offer primarily term life insurance products and services but may offer other insurance product types (health, disability, and/or annuity) to prospective insurance clients with various insurance carriers. >> 2) LAKE WINDWARD YACHT CLUB; Non-Investment Related; Lake Windward, Alpharetta, GA; Neighborhood Social Club; Vice Commodore; Start Date 12/2020; 4 hours per month with 1 hour more/less occurring during trading hours; In the event that the Commodore is not able to lead a meeting, I as the Vice Commodore, lead the meeting in his/her absence. >> 3) WINDWARD HOA BOARD; Non-Investment Related; 1100 North Meadow Pkwy, Ste 114, Roswell, GA 30076; HOA; Board Member; Start Date 03/2022; 20 - 30 hours per month with minimal hours occurring during trading hours; Serve as Board Member as well as liaison to the Windward Lake Committee and member of the Amenities Sub-Committee. >> 4) POA; Non-Investment Related; Alpharetta, GA 30005; Co-Power of Attorney for my parents; Start Date 03/2002; No hours per month presently; Co-Power of Attorney for my parents. 5) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 05/1993; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SALES OF FIXED INSURANCE PRODUCTS;
CRS (Client Relationship Summary) - RIA
Click below to view Vernon Edwin Unger III'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
February 20, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
ALPHARETTA, GA
Current
February 20, 2025 - Present
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
Alpharetta, GA
Past
May 10, 2007 - February 20, 2025
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
RIA
CRD#: 15708
Alpharetta, GA
Past
November 11, 2005 - February 20, 2025
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
Alpharetta, GA
Past
August 20, 2002 - November 15, 2005
USALLIANZ SECURITIES, INC.
BD
CRD#: 40875
MINNEAPOLIS, MN
Past
April 12, 2002 - August 20, 2002
WORLD GROUP SECURITIES, INC.
BD
CRD#: 114473
DULUTH, GA
Past
November 8, 1999 - April 12, 2002
WMA SECURITIES, INC.
BD
CRD#: 32625
DULUTH, GA
Past
February 1, 1999 - November 9, 1999
PFS INVESTMENTS INC.
BD
CRD#: 10111
DULUTH, GA
Past
June 9, 1993 - December 31, 1998
PFS INVESTMENTS INC.
BD
CRD#: 10111
DULUTH, GA
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
Alabama(2/20/2025)
RR
California(2/20/2025)
RR
Colorado(2/20/2025)
RR
Connecticut(2/20/2025)
RR
Florida(2/20/2025)
RR
Georgia(2/20/2025)
IAR
Georgia(2/20/2025)
RR
Illinois(2/20/2025)
RR
Indiana(2/20/2025)
RR
Kansas(2/20/2025)
RR
Kentucky(2/20/2025)
RR
Louisiana(2/20/2025)
RR
Maryland(7/14/2025)
RR
Massachusetts(2/20/2025)
RR
Michigan(2/20/2025)
RR
Minnesota(2/20/2025)
RR
Mississippi(2/20/2025)
RR
Missouri(2/20/2025)
RR
Nevada(2/20/2025)
RR
New York(2/20/2025)
RR
North Carolina(2/20/2025)
RR
South Carolina(2/20/2025)
RR
Tennessee(2/20/2025)
RR
Texas(2/20/2025)
IAR
Texas(4/1/2025)
RR
Utah(2/20/2025)
RR
Washington(2/20/2025)
RR
Wisconsin(2/20/2025)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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
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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
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.
