LH
Lance R. Heimsoth
CETERA INVESTMENT ADVISERS LLC
Sioux City, IA 51106
Some features on this profile are disabled
CRD#: 2383878
LH
Professional summary
Lance Robert Heimsoth is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Sioux City, Iowa and CETERA INVESTMENT SERVICES LLC located in Sioux City, Iowa.
Lance is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Lance has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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. FIXED INSURANCE PRODUCTS THROUGH WESTERN SOUTHER. 2. ABILITY TO REFER BUSINESS TO THE TRUST/WEALTH MANAGEMENT AREA OF SECURITY NATIONAL BANK, TRUST/WEALTH MANAGEMENT AREA COMPENSATES FOR SUCH REFERRALS
CRS (Client Relationship Summary) - RIA
Click below to view Lance Robert Heimsoth'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
January 29, 2016 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 4700 Sergeant Road, Sioux City, IA 51106RIA
CRD#: 105644
Sioux City, IA
Current
August 16, 2005 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 4700 Sergeant Road, Sioux City, IA 51106Office #2: 3131 Floyd Blvd, Sioux City, IA 51108BD
CRD#: 15340
Sioux City, IA
Past
February 18, 1998 - August 17, 2005
FISERV INVESTOR SERVICES, INC.
BD
CRD#: 34637
HOUSTON, TX
Past
May 6, 1997 - February 18, 1998
AEGON USA SECURITIES INC.
BD
CRD#: 13302
CEDAR RAPIDS, IA
Past
August 1, 1995 - May 1, 1997
FIMCO SECURITIES GROUP, INC.
BD
CRD#: 30343
PORT WASHINGTON, WI
Past
August 13, 1993 - May 19, 1994
SIMMERS CAPITAL MANAGEMENT CORPORATION
BD
CRD#: 29960
PHOENIX, AZ
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(8/16/2005)
RR
Arkansas(1/3/2012)
RR
California(12/6/2005)
RR
Colorado(8/16/2005)
RR
Florida(3/11/2013)
RR
Georgia(7/11/2025)
RR
Idaho(7/12/2022)
RR
Illinois(2/14/2006)
RR
Indiana(8/16/2005)
RR
Iowa(8/16/2005)
IAR
Iowa(1/29/2016)
RR
Kansas(8/16/2005)
RR
Louisiana(2/16/2022)
RR
Minnesota(8/16/2005)
RR
Missouri(8/16/2005)
RR
Montana(6/4/2018)
RR
Nebraska(8/16/2005)
RR
Nevada(3/21/2023)
RR
Ohio(4/21/2020)
RR
Oklahoma(7/15/2024)
RR
South Dakota(8/16/2005)
RR
Texas(9/17/2007)
IAR
Texas(4/22/2022)
RR
Virginia(7/11/2025)
RR
Wisconsin(4/20/2011)
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.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Sioux City, IA 51106TRUST BUT VERIFY
Monitor Lance Heimsoth
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
