AM
Ann A. Merkley
CETERA INVESTMENT ADVISERS LLC
WEST DES MOINES, IA 50226
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CRD#: 2392959
AM
Professional summary
Ann A Merkley, who also goes by Ann Augusta Feilmann, Ann Augusta Merkley, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in West Des Moines, Iowa and CETERA FINANCIAL SPECIALISTS LLC located in West Des Moines, Iowa.
Ann is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Ann has worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ann Augusta Feilmann | Ann Augusta Merkley
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) MERKLEY WEALTH ASSOCIATES, INVESTMENT RELATED, ADDRESS SAME AS REGISTERED BRANCH, INVESTMENT RELATED DBA, SOLE OWNER, 40H/WEEK, 40H/WEEK DURING TRADING HOURS, SINCE 07/2008. 2) WOMAN OF WORTH LLC, NOT INVESTMENT RELATED, ADDRESS SAME AS REGISTERED BRANCH, OWNER, SOLE MEMBER, WOMEN BUSINESS OWNER NETWORKING GROUP, 2H/WEEK, SINCE 01/2008. 3) FIXED INSURANCE, NOT INVESTMENT RELATED, ADDRESS SAME AS REGISTERED BRANCH, SALES OF LIFE INSURANCE, FIXED ANNUITIES, DISABILITY INSURANCE, SINCE 01/1991, 2H/WEEK.
CRS (Client Relationship Summary) - RIA
Click below to view Ann A Merkley'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 13, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 6911 Vista Drive, West Des Moines, IA 50226RIA
CRD#: 105644
WEST DES MOINES, IA
Current
September 3, 2024 - Present
CETERA FINANCIAL SPECIALISTS LLC
BD
CRD#: 10358
WEST DES MOINES, IA
Past
October 7, 2009 - September 5, 2024
PARK AVENUE SECURITIES LLC
RIA
CRD#: 46173
CLIVE, IA
Past
September 25, 2009 - September 5, 2024
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
CLIVE, IA
Past
January 18, 2000 - September 14, 2009
PRINCIPAL SECURITIES, INC.
RIA
CRD#: 1137
WEST DES MOINES, IA
Past
December 6, 1993 - September 14, 2009
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
WEST DES MOINES, IA
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(10/2/2024)
RR
Arkansas(10/2/2024)
RR
California(10/2/2024)
RR
Colorado(10/2/2024)
RR
Connecticut(10/2/2024)
RR
Florida(10/2/2024)
RR
Illinois(10/2/2024)
RR
Indiana(10/2/2024)
RR
Iowa(9/3/2024)
IAR
Iowa(2/13/2025)
RR
Kansas(10/2/2024)
RR
Kentucky(10/2/2024)
RR
Massachusetts(10/2/2024)
RR
Michigan(10/2/2024)
RR
Minnesota(10/2/2024)
RR
Nebraska(10/2/2024)
RR
New Hampshire(10/2/2024)
RR
New Jersey(10/2/2024)
RR
New Mexico(10/2/2024)
RR
North Carolina(10/2/2024)
RR
Ohio(10/3/2024)
RR
Oregon(10/2/2024)
RR
Pennsylvania(10/2/2024)
RR
Texas(10/2/2024)
IAR
Texas(2/20/2025)
RR
Virginia(10/2/2024)
RR
Washington(10/4/2024)
RR
West Virginia(12/9/2024)
RR
Wisconsin(10/2/2024)
Exams
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
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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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644West Des Moines, IA 50226TRUST BUT VERIFY
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