MZ
Max Zubiate
CETERA INVESTMENT ADVISERS LLC
Colorado Springs, CO 80918
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CRD#: 2598203
MZ
Professional summary
Max Zubiate is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Colorado Springs, Colorado and CETERA WEALTH SERVICES, LLC located in Colorado Springs, Colorado.
Max is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Max has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 52 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) ACADEMY WEALTH MANAGEMENT GROUP; 5540 N ACADEMY BLVD STE 220, COLORADO SPRINGS, CO, 80918; SINCE 10/23/2015; FINANCIAL ADVISOR; FINANCIAL SERVICES AND BROKERAGE; Academy Wealth Management is the DBA for my financial services group; 160 HOURS SPENT ON ACTIVITY PER MONTH; 160 HOURS DURING TRADING HOURS (2) SUMMIT BROKERAGE; NOT INVESTMENT RELATED; 5540 N ACADEMY BLVD COLORADO SPRINGS, CO 80918; LIFE INSURANCE; INSURANCE AGENT; 01/10/2017; APPX 5-10 HRS/MONTH; APPX 1-2 HRS/MONTH DURING TRADING; SOLICIT FIXED AND TERM INSURANCE BUSINESS (3) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES ; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 04/14/2004 APX NUMBER OF HOURS PER WEEK: 2 APX NUMBER OF HOURS DURING TRADING HOURS: 2; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SALES OF FIXED INSURANCE PRODUCTS;
CRS (Client Relationship Summary) - RIA
Click below to view Max Zubiate'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
October 7, 2015 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 5540 N Academy Blvd Suite 220, Colorado Springs, CO 80918RIA
CRD#: 105644
Colorado Springs, CO
Current
September 20, 2019 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 5540 N Academy Blvd Suite 220, Colorado Springs, CO 80918BD
CRD#: 13572
Colorado Springs, CO
Past
May 20, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
September 6, 2019 - May 20, 2021
SUMMIT FINANCIAL GROUP INC
RIA
CRD#: 109485
COLORADO SPRINGS, CO
Past
September 11, 2015 - September 20, 2019
SUMMIT BROKERAGE SERVICES, INC.
BD
CRD#: 34643
Colorado Springs, CO
Past
February 16, 2007 - November 13, 2015
J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC
RIA
CRD#: 124446
COLORADO SPRINGS, CO
Past
October 24, 2006 - September 29, 2015
J.P. TURNER & COMPANY, L.L.C.
BD
CRD#: 43177
COLORADO SPRINGS, CO
Past
June 24, 2003 - October 26, 2006
AMERIPRISE ADVISOR SERVICES, INC.
RIA
CRD#: 5979
COLORADO SPRINGS, CO
Past
March 21, 2003 - June 25, 2003
CHOREO, LLC
RIA
CRD#: 111221
COLORADO SPRINGS, CO
Past
July 31, 1996 - October 26, 2006
AMERIPRISE ADVISOR SERVICES, INC.
BD
CRD#: 5979
COLORADO SPRINGS, CO
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(9/20/2019)
RR
California(1/27/2022)
IAR
Colorado(10/7/2015)
RR
Colorado(9/20/2019)
RR
Florida(12/4/2024)
RR
Kansas(10/23/2025)
RR
Massachusetts(11/10/2021)
RR
Minnesota(9/20/2019)
RR
Montana(11/5/2025)
RR
Nevada(11/5/2025)
RR
New Hampshire(11/5/2025)
RR
Texas(11/5/2025)
IAR
Texas(11/5/2025)
RR
Wisconsin(11/5/2025)
RR
Wyoming(9/20/2019)
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#: 105644Colorado Springs, CO 80918TRUST BUT VERIFY
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