LG
Lance V. Grothe
CETERA INVESTMENT ADVISERS LLC
BENNETT, CO 80102
Some features on this profile are disabled
CRD#: 2625158
LG
Professional summary
Lance Vincent Grothe, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Bennett, Colorado and CETERA WEALTH SERVICES, LLC located in Bennett, Colorado.
Lance is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Lance has worked at 4 firms and has passed the Series 66, 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) Bennett / Watkins Lions Club P O Box 364~Watkins~CO~80137~Club/Association Director/Officer~Treasurer/Comptroller~1/1/2005~2hrs~0hrs~Keep books, pay bills, make deposits, provide reports. 2) Grothe Financial Services P.C. 690 E Colfax Ave~Bennett~CO~80102~Tax Preparation/Accounting~President~1/1/1993~150hrs~150hrs~Tax Return Preparation & Accounting 3) Presbyterian Minister 1240 View Ridge Rd~Bennett~CO~80102~Other~Other~10/1/1980~2hrs~0hrs~Parish Associate - Minister of the Gospel of Jesus Christ. 4) COMMERCIAL REAL ESTATE RENTAL POSITION: Owner and manager NATURE: I rent space in the office building I own to my CPA practice and to my financial services business. INVESTMENT RELATED: Yes NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 4 START DATE: 11/20/2021 ADDRESS: 690 E. Colfax Ave, Bennett CO 80102, United States DESCRIPTION: Management of a commercial office building including maintenance and leasing. 5) BENNETT / WATKINS LIONS CLUB POSITION: President NATURE: Bennett/Watkins Lions Club is a part of Lions International, a worldwide service organization based in Chicago, Illinois.Our mission is to empower Lions clubs, volunteers, and partners to improve health and well-being, strengthen communities, and support those in need through humanitarian services and grants that impact lives globally, and encourage peace and international understanding.? INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 07/01/2023 ADDRESS: 690 E Colfax Ave, Bennett CO 80102, United States DESCRIPTION: Prepare agendas and moderate our club meetings.
CRS (Client Relationship Summary) - RIA
Click below to view Lance Vincent Grothe'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®
CFP®
Start date: 2004
Experience
Current
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 690 E. Colfax Ave, Bennett, CO 80102RIA
CRD#: 105644
BENNETT, CO
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 690 E. Colfax Ave, Bennett, CO 80102BD
CRD#: 13572
Bennett, CO
Past
January 1, 1999 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Bennett, CO
Past
August 22, 1995 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Bennett, 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(9/5/2025)
RR
Colorado(9/5/2025)
IAR
Colorado(9/5/2025)
RR
New Mexico(9/18/2025)
RR
Wyoming(9/18/2025)
Exams
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
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
