Warren W. Weeks

CETERA INVESTMENT ADVISERS LLC

COCOA, FL 32922

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CRD#: 2389162

Professional summary

Warren Wendell Weeks is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Cocoa, Florida and CETERA ADVISORS LLC located in Merritt Island, Florida.

Warren is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Warren has worked at 6 firms and has passed the Series 63, Series 99TO, SIE, Series 31 and Series 7 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.)STRATEGIC WEALTH CONSULTANTS GROUP, INC; CONSULTANT; CONSULTING; START DATE:10/1/2009. 2.)ADAMS FINANCIAL SERVICES PA; DIRECT OWNER; DBA; START DATE:7/1/2008.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Warren Wendell Weeks'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

September 10, 2020 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 319 River Edge Bulivard Unit 218, Cocoa, FL 32922

RIA

CRD#: 105644

COCOA, FL

Current

September 8, 2022 - Present

CETERA ADVISORS LLC

Office #1: 30 N Grove St Suite G, Merritt Island, FL 32953

CRD#: 10299

Merritt Island, FL

Past

June 6, 2012 - November 12, 2020

FIRST ALLIED ADVISORY SERVICES, INC.

RIA

CRD#: 137888

MERRITT ISLAND, FL

Past

June 25, 2007 - July 2, 2012

FIRST ALLIED SECURITIES, INC.

RIA

CRD#: 32444

COCOA, FL

Past

May 3, 2005 - July 13, 2006

FIRST ALLIED SECURITIES, INC.

RIA

CRD#: 32444

COCOA, FL

Past

December 3, 2004 - September 8, 2022

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

COCOA, FL

Past

April 11, 1995 - December 2, 2004

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

INDIALANTIC, FL

Past

April 6, 1995 - December 2, 2004

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

January 13, 1994 - June 13, 1994

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

ST. PETERSBURG, FL

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

IAR

Florida
(9/10/2020)

Florida
(9/8/2022)

New York
(2/12/2025)

IAR

Texas
(11/12/2020)

Texas
(9/8/2022)

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

Series 63

Date: 4/20/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 4/13/1995

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 1/12/1994

General Securities 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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Advisor Monitoring

Firm Stability Insights

Warren W. Weeks

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Warren Wendell Weeks's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA ADVISORS LLC

FIRST ALLIED ADVISORY SERVICES, INC.

FIRST ALLIED SECURITIES, INC.

FIRST ALLIED SECURITIES, INC.

FIRST ALLIED SECURITIES, INC.

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 4/20/1995

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 31

Date: 4/13/1995

Series 7

Date: 1/12/1994

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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