PS
Paul C. Schwartz
CETERA INVESTMENT ADVISERS LLC
LOGAN, UT 84341
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CRD#: 2496871
PS
Professional summary
Paul Charles Schwartz is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Logan, Utah and CETERA ADVISORS LLC located in Logan, Utah.
Paul is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Paul has worked at 8 firms and has passed the Series 65, 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) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FIXED INSURANCE, START DATE: 01/1998, APX NUMBER OF HOURS PER WEEK: VARIES, APX NUMBER OF HOURS DURING TRADING HOURS: VARIES, POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT , BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, FIXED ANNUITIES AND LONG-TERM CARE: 2) NAME OF OTHER BUSINESS: THE LOGAN AGENCY, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FIXED INSURANCE, START DATE: 01/1998, POSITION/TITLE/RELATIONSHIP: OWNER/PRESIDENT, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR INSURANCE; 3)OWN INVESTMENT PROPERTIES AND RECEIVE PASSIVE INCOME FROM THEM. 4) NAME OF OTHER BUSINESS: NORTH HAMPTON CONDOMINIUM ASSOCIATION; INVESTMENT RELATED: NO; ADDRESS: 40 WEST CASHE VALLEY BLVD LOGAN, UT 84341; NATURE OF BUSINESS: BUSINESS BUILDING ASSOCIATION; START DATE: 12/2021; POSITION/TITLE/RELATIONSHIP: PRESIDENT; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: SET UP ANNUAL BUDGET FOR OPERATON AND MAINTENANCE OF BUILING AND GROUNDS OF ASSOCIATION;
CRS (Client Relationship Summary) - RIA
Click below to view Paul Charles Schwartz'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
March 21, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 40 West Cache Valley Blvd, Bldg 5b, Logan, UT 84341RIA
CRD#: 105644
LOGAN, UT
Current
February 28, 2012 - Present
CETERA ADVISORS LLC
Office #1: 40 West Cache Valley Blvd, Bldg 5b, Logan, UT 84341BD
CRD#: 10299
Logan, UT
Past
February 28, 2012 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
GREENWOOD VILLAGE, IL
Past
June 30, 2009 - February 28, 2012
PACIFIC WEST FINANCIAL CONSULTANTS INC
RIA
CRD#: 108728
RENTON, WA
Past
January 11, 2008 - February 28, 2012
PACIFIC WEST SECURITIES, INC.
BD
CRD#: 6390
LOGAN, UT
Past
March 7, 2007 - January 15, 2008
CAPITAL FINANCIAL SERVICES, INC.
BD
CRD#: 8408
LOGAN, UT
Past
December 17, 1998 - March 7, 2007
UNITED HERITAGE FINANCIAL SERVICES, INC.
BD
CRD#: 35316
LOGAN, UT
Past
November 7, 1997 - January 6, 1999
DMK ADVISOR GROUP, INC.
BD
CRD#: 41067
LUTZ, FL
Past
November 29, 1994 - November 21, 1997
WMA SECURITIES, INC.
BD
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".
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(4/4/2019)
RR
California(3/22/2019)
RR
Idaho(2/28/2012)
RR
Kansas(3/15/2019)
RR
Nevada(1/14/2022)
RR
Pennsylvania(12/21/2018)
RR
Utah(2/28/2012)
IAR
Utah(3/21/2024)
RR
Washington(2/28/2012)
RR
Wyoming(2/28/2012)
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
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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#: 105644Logan, UT 84341TRUST BUT VERIFY
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