Robert G. Queen

CETERA INVESTMENT ADVISERS LLC

LIGHTHOUSE POINT, FL

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CRD#: 2379105

Professional summary

Robert Grady Queen II, who also goes by Rob Queen II, Robert Grady Queen, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Lighthouse Point, Florida and CETERA WEALTH SERVICES, LLC located in Lighthouse Point, Florida.

Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Robert 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

Rob Queen Ii | Robert Grady Queen

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.VARIOUS INSURANCE COMPANIES, INSURANCE FIXED INSURANCE - LIFE, HEALTH AND DISABILITY. 2. NAME OF OTHER BUSINESS: HUB INTERNATIONAL INVESTMENT RELATED: YES ADDRESS: 4695 MACARTHUR COURT. NEWPORT BEACH, CA 92660 NATURE OF BUSINESS: EMPLOYEE BENEFITS & INSURANCE CONSULTING START DATE: 12/30/15 POSITION/TITLE/RELATIONSHIP: SR. VICE PRESIDENT APX NUMBER OF HOURS PER WEEK: 50 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: PROVIDING SERVICES TO 401(K) EMPLOYEE BENEFITS CLIENTS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Grady Queen II'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

April 23, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

Office #2: 4000 Mac Arthur Blvd, Suite 1050, Newport Beach, CA 92660

RIA

CRD#: 105644

LIGHTHOUSE POINT, FL

Current

February 13, 2009 - Present

CETERA WEALTH SERVICES, LLC

Office #2: 4000 Mac Arthur Blvd, Suite 1050, Newport Beach, CA 92660

CRD#: 13572

LIGHTHOUSE POINT, FL

Past

January 14, 2019 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

WEST PALM BEACH, FL

Past

May 11, 2009 - July 12, 2017

SAGEVIEW ADVISORY GROUP, LLC

RIA

CRD#: 126777

IRVINE, CA

Past

January 14, 2009 - April 8, 2009

HRH INVESTMENT ADVISORS, LLC

RIA

CRD#: 112189

DANBURY, CT

Past

October 18, 2004 - December 31, 2008

HRH INVESTMENT ADVISORS, LLC

RIA

CRD#: 112189

ALISO VIEJO, CA

Past

October 8, 2003 - December 31, 2008

WESTPORT FINANCIAL SERVICES, L.L.C.

CRD#: 38449

ALISO VIEJO, CA

Past

September 18, 2002 - October 15, 2003

OSAIC FS, INC.

CRD#: 3870

FORT WAYNE, IN

Past

April 11, 2001 - August 14, 2002

GOLDK INVESTMENT SERVICES, INC

CRD#: 15514

BOSTON, MA

Past

August 1, 2000 - January 24, 2001

PAN-AMERICAN FINANCIAL ADVISERS

CRD#: 15578

NEW ORLEANS, LA

Past

September 26, 1996 - December 31, 1998

NEW ENGLAND SECURITIES

CRD#: 615

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".

CETERA INVESTMENT ADVISERS LLC

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.

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

California
(2/13/2009)

IAR

California
(6/29/2023)

Delaware
(5/20/2014)

Florida
(6/8/2021)

IAR

Florida
(4/23/2023)

New York
(2/13/2009)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/14/2004

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/11/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 9/25/1996

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

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	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	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.

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Robert G. Queen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Grady Queen II's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

SAGEVIEW ADVISORY GROUP, LLC

HRH INVESTMENT ADVISORS, LLC

HRH INVESTMENT ADVISORS, LLC

WESTPORT FINANCIAL SERVICES, L.L.C.

OSAIC FS, INC.

GOLDK INVESTMENT SERVICES, INC

PAN-AMERICAN FINANCIAL ADVISERS

NEW ENGLAND SECURITIES

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/14/2004

Series 63

Date: 10/11/2002

SIE

Date: 10/1/2018

Series 6

Date: 9/25/1996

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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