William D. Lohrenz

CETERA INVESTMENT ADVISERS LLC

APPLETON, WI 54911-8440

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CRD#: 2644534

Professional summary

William David Lohrenz is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Appleton, Wisconsin and CETERA WEALTH SERVICES, LLC located in Appleton, Wisconsin.

William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. William has worked at 8 firms and has passed the Series 65, 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: FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED: YES, POSITION/TITLE/RELATIONSHIP: REPRESENTATIVE, BRIEF DESCRIPTION OF DUTIES: SELLS FIXED LIFE, HEALTH AND ANNUITIES 2. NAME OF OTHER BUSINESS: LOHRENZ FINANCIAL LLC, INVESTMENT RELATED: YES, ADDRESS: W4459 COUNTRY VIEW DR, APPLETON, WI 54913, NATURE OF BUSINESS: DBA, FINANCIAL SERVICES POSITION/TITLE/RELATIONSHIP: OWNER, INVESTMENT ADVISOR REPRESENTATIVE, APX NUMBER OF HOURS PER MONTH: 120; 3. NAME OF OTHER BUSINESS: ADVISORNET INSURANCE, INVESTMENT RELATED: YES, NATURE OF BUSINESS: INSURANCE, POSITION/TITLE/RELATIONSHIP: REPRESENTATIVE BRIEF DESCRIPTION OF DUTIES: INSURANCE SALES; 4. NAME OF OTHER BUSINESS: JACK SCHROEDER AND ASSOCIATES, INVESTMENT RELATED: NO, NATURE OF BUSINESS: HEALTH INSURANCE, POSITION/TITLE/RELATIONSHIP: REPRESENTATIVE, BRIEF DESCRIPTION OF DUTIES: HEALTH INSURANCE SALES

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William David Lohrenz's CRS (Customer Relationship Summary).

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®

None

Experience

Current

June 29, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 3405 Commerce Ct Suite #5, Appleton, WI 54911-8440

RIA

CRD#: 105644

APPLETON, WI

Current

August 13, 2008 - Present

CETERA WEALTH SERVICES, LLC

CRD#: 13572

APPLETON, WI

Past

August 13, 2008 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

APPLETON, WI

Past

September 16, 2004 - August 13, 2008

PENSION PLANNERS SECURITIES, INC.

CRD#: 14068

SACRAMENTO, CA

Past

December 2, 2003 - October 20, 2004

MONY SECURITIES CORPORATION

CRD#: 4386

NEW YORK, NY

Past

January 30, 2002 - December 2, 2003

TRUSTED SECURITIES ADVISORS CORP.

CRD#: 24049

NEW YORK, NY

Past

January 4, 1999 - January 30, 2002

SECURITIES AMERICA, INC.

CRD#: 10205

LAVISTA, NE

Past

July 19, 1996 - December 31, 1998

MUTUAL SERVICE CORPORATION

CRD#: 4806

BOSTON, MA

Past

August 7, 1995 - December 21, 1995

WADDELL & REED

CRD#: 866

OVERLAND PARK, KS

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".

CETERA INVESTMENT ADVISERS LLC

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.

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

Illinois
(1/6/2020)

Mississippi
(1/2/2025)

Wisconsin
(8/13/2008)

IAR

Wisconsin
(6/29/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/20/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/4/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 8/4/1995

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

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	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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.

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Firm Stability Insights

William D. Lohrenz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William David Lohrenz's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

PENSION PLANNERS SECURITIES, INC.

MONY SECURITIES CORPORATION

TRUSTED SECURITIES ADVISORS CORP.

SECURITIES AMERICA, INC.

MUTUAL SERVICE CORPORATION

WADDELL & REED

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/20/1997

Series 63

Date: 8/4/1995

SIE

Date: 10/1/2018

Series 6

Date: 8/4/1995

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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