Chris C. Altman

CETERA INVESTMENT ADVISERS LLC

LAKEWOOD RANCH, FL

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CRD#: 2493796

Professional summary

Chris Charles Altman is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Lakewood Ranch, Florida and CETERA WEALTH SERVICES, LLC located in Lakewood Ranch, Florida.

Chris is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Chris has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 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. NAME OF ENTITY: INDEPENDENT INSURANCE AGENT; Yes; 3821 MILFLORES DR3821 MILFLORES DR; RUSKIN; FL; 33573; FIXED INSURANCE SALES; INDEPENDENT INSURANCE AGENT; 8/29/2013; 4; 4; SELL OF FIXED INSURANCE PRODUCTS; 2. NAME OF ENTITY:C. ALTMAN LLC; No; 3821 MILFLORES DR; RUSKIN; FL; 33573; CORPORATION FOR ACCOUNTING PURPOSES; OWNER/PRESIDENT; 10/28/2005; 1; 0; ACCOUNTING/BOOKKEEPING PURPOSES ONLY; 3. NAME OF ENTITY: Rare Bird Records, LLC; No; 3821 Milflores Dr.; Ruskin; FL; 33573; communal Christian music; co-owner; 1/1/2019; 12; 0; Music assistance - writing, playing, arranging, recording and marketing;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Chris Charles Altman'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 9, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

LAKEWOOD RANCH, FL

Current

May 25, 2021 - Present

CETERA WEALTH SERVICES, LLC

CRD#: 13572

LAKEWOOD RANCH, FL

Past

May 26, 2021 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

Lakewood Ranch, FL

Past

June 9, 2017 - June 11, 2021

VOYA FINANCIAL ADVISORS, INC.

RIA

CRD#: 2882

Lakewood Ranch, FL

Past

August 28, 2013 - June 11, 2021

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

Lakewood Ranch, FL

Past

August 30, 2004 - August 28, 2013

OSAIC WEALTH, INC.

CRD#: 23131

LAKELAND, FL

Past

October 8, 2002 - September 2, 2004

HIGH MARK SECURITIES, INC.

CRD#: 42467

LAKELAND, FL

Past

October 18, 2000 - October 15, 2002

MEDALLION EQUITIES, INC.

CRD#: 43399

MARIETTA, GA

Past

May 10, 2000 - October 30, 2000

WMA SECURITIES, INC.

CRD#: 32625

DULUTH, GA

Past

June 30, 1994 - March 28, 2000

WMA SECURITIES, INC.

CRD#: 32625

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".

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
(6/10/2021)

Florida
(5/25/2021)

IAR

Florida
(4/9/2023)

Georgia
(6/10/2021)

Kentucky
(6/10/2021)

North Carolina
(6/10/2021)

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: 5/27/2017

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/11/1995

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: 6/29/1994

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 10/2/1997

Investment Company Products/Variable Contracts Principal 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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Chris C. Altman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Chris Charles Altman's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

OSAIC WEALTH, INC.

HIGH MARK SECURITIES, INC.

MEDALLION EQUITIES, INC.

WMA SECURITIES, INC.

WMA SECURITIES, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/27/2017

Series 63

Date: 9/11/1995

SIE

Date: 10/1/2018

Series 6

Date: 6/29/1994

Series 26

Date: 10/2/1997

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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