SZ
Shane M. Zaruba
CETERA INVESTMENT ADVISERS LLC
SAYNER, WI 54560
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CRD#: 2614658
SZ
Professional summary
Shane Michael Zaruba, who also goes by Shane Zaruba, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Sayner, Wisconsin and CETERA WEALTH SERVICES, LLC located in Sayner, Wisconsin.
Shane is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Shane has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Shane Zaruba
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)SAYNER COMMUNITY CHURCH POSITION: Congregation member NATURE: Historic church built circa 1915 is in need of physical repairs and regular services were suspended a couple years ago. Services have been revived and the Church has been issued a favorable determination letter from the IRS recognizing it as a tax exempt [Church] organization to raise funds to renovate the building. INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 10/15/2023 ADDRESS: 2995 Plum Lake Drive, P.O. Box 102, Sayner WI 54560, United States DESCRIPTION: Board President [5 member board]. From the By Laws: "The President shall preside at all meetings of the Board of Directors and have the power to sign contracts and any other legal documents on behalf of the Corporation as approved by motion of the Board of Directors. The President may delegate authority in accordance with these Bylaws, as required, to such persons as the President may select." On a practical note - I call meetings when appropriate, create meeting agendas, vet and hire [with Board approval] contractors when and if needed for work on the building and the grounds, I pay the utility bills, deposit contributions when received. I also help caretake for the property. The Board, myself included, will be engaging in fund raising activities to renovate the building.
CRS (Client Relationship Summary) - RIA
Click below to view Shane Michael Zaruba'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
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 2988 Plum Lake Drive, Sayner, WI 54560RIA
CRD#: 105644
SAYNER, WI
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
Sayner, WI
Past
January 13, 2005 - January 28, 2005
HARBOUR INVESTMENTS, INC.
BD
CRD#: 19258
MADISON, WI
Past
March 4, 2004 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Sayner, WI
Past
February 11, 1998 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Sayner, WI
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(9/5/2025)
RR
Florida(9/5/2025)
RR
Minnesota(9/5/2025)
RR
North Carolina(9/18/2025)
RR
Texas(9/5/2025)
IAR
Texas(9/5/2025)
RR
Wisconsin(9/5/2025)
IAR
Wisconsin(9/5/2025)
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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Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Sayner, WI 54560TRUST BUT VERIFY
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