RD
Robert W. Downing
CETERA INVESTMENT ADVISERS LLC
VALENCIA, CA 91355
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CRD#: 2620904
RD
Professional summary
Robert Wayne Downing is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Valencia, California and CETERA WEALTH SERVICES, LLC located in Valencia, California.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Robert has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 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) Fiduciary Appointment-Trustee~'NIR'~27955 Smyth Drive, Suite 104~Valencia~CA~91355~3/14/2001~2hrs~1hrs~Oversee that trust funds are taken care of in prudent manner, write checks for any trust expenses as well as distributions required by the beneficiary 2) Bisys /CRUMP Insurance Services~'NIR'~2233 Watt Ave, Suite 50~Sacramento~CA~95825~Independent Insurance Agent~Insurance Sales Agent~1/1/2010~1hrs~1hrs~fixed insurance products only 3) Downing Tax & Financial Svc.~'NIR'~27955 Smyth Drive Suite 104~Valencia~CA~91355~Accounting Services/Tax Preparation~Owner~11/23/1983~80hrs~80hrs~I am the owner so I get to do everything for tax returns to HR to taking out the trash. 4) RENTAL PROPERTY VALENCIA CA POSITION: Owner/Sole Proprietor NATURE: Rental Property Owner/Management INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 1 START DATE: 09/01/2008; ADDRESS: 25784 Covala Court, Valencia CA 91355, manage rental property.
CRS (Client Relationship Summary) - RIA
Click below to view Robert Wayne Downing'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: 28001 Smyth Drive Ste 109, Valencia, CA 91355RIA
CRD#: 105644
VALENCIA, CA
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 27955 Smyth Drive Suite #104, Valencia, CA 91355BD
CRD#: 13572
VALENCIA, CA
Past
August 23, 2002 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
VALENCIA, CA
Past
July 17, 1995 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
VALENCIA, CA
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
California(9/5/2025)
IAR
California(9/5/2025)
RR
Colorado(9/5/2025)
RR
Connecticut(9/5/2025)
RR
Georgia(9/5/2025)
RR
Idaho(9/5/2025)
RR
Iowa(9/5/2025)
RR
Maine(9/5/2025)
RR
Minnesota(9/5/2025)
RR
Nevada(9/5/2025)
RR
North Carolina(9/5/2025)
RR
Oregon(9/5/2025)
RR
Tennessee(9/5/2025)
RR
Texas(9/5/2025)
IAR
Texas(9/5/2025)
RR
Utah(9/5/2025)
RR
Virginia(9/5/2025)
RR
Washington(9/5/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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#: 105644Valencia, CA 91355TRUST BUT VERIFY
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