AR
Alan R. Rohde
CETERA INVESTMENT ADVISERS LLC
FLINT, MI 48532
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CRD#: 2512442
AR
Professional summary
Alan Richard Rohde is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Flint, Michigan and CETERA FINANCIAL SPECIALISTS LLC located in Flint, Michigan.
Alan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Alan has worked at 3 firms and has passed the Series 63, SIE 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: YEO & YEO INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: ACCOUNTING SERVICES START DATE: 7/2013 APX NUMBER OF HOURS PER WEEK: 4 APX NUMBER OF HOURS DURING TRADING HOURS: 4 POSITION/TITLE/RELATIONSHIP: INDEPENDENT CONTRACTOR BRIEF DESCRIPTION OF DUTIES: HOURLY ACCOUNTING SERVICES, CONSULTING 2) YEO & YEO FIN SER, INC; INV REL; SAGINAW, MI; FIN SER, DBA; REG REP; SD 12/9/98; 60 HRS/MTH: 3) NAME OF OTHER BUSINESS: RMR LAKE LIFE LLC; INVESTMENT RELATED: NO; ADDRESS: 6205 WEST LAKE RD, TWIN LAKE, MI 49457; NATURE OF BUSINESS: VACATION PROPERTY; START DATE: 8/2023; POSITION/TITLE/RELATIONSHIP: MEMBER; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: MAINTENANCE OF VACATION HOME FOR FAMILY;
CRS (Client Relationship Summary) - RIA
Click below to view Alan Richard Rohde'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 26, 2010 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 4468 Oak Bridge Drive, Flint, MI 48532RIA
CRD#: 105644
FLINT, MI
Current
June 30, 2004 - Present
CETERA FINANCIAL SPECIALISTS LLC
Office #1: 4468 Oak Bridge Drive, Flint, MI 48532BD
CRD#: 10358
Flint, MI
Past
July 7, 1994 - June 30, 2004
HOCHMAN & BAKER SECURITIES, INC.
BD
CRD#: 19949
STAMFORD, CT
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
Colorado(7/31/2024)
RR
Florida(4/13/2006)
RR
Georgia(9/9/2024)
RR
Idaho(10/31/2017)
RR
Illinois(7/31/2024)
RR
Michigan(6/30/2004)
IAR
Michigan(1/26/2010)
RR
Minnesota(8/26/2024)
RR
Ohio(9/25/2023)
RR
Tennessee(7/7/2023)
RR
Virginia(10/17/2024)
RR
Wisconsin(4/7/2005)
Exams
State Security Law 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
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.
