Norbert W. Naths

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CRD#: 2653644

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Norbert William Naths, who also goes by Norbert Naths, was a registered financial professional .

Norbert is a previously registered financial professional and started their career in finance in 1995. Norbert had worked at 16 firms and has passed the Series 65, Series 66, Series 63, Series 6TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Norbert Naths

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

May 8, 2024 - August 4, 2025

ALERA INVESTMENT ADVISORS, LLC

RIA

CRD#: 287906

HIghlands Ranch, CO

Past

March 20, 2024 - November 20, 2024

ALERA RETIREMENT ADVISORS, LLC

RIA

CRD#: 155738

Highlands Ranch, CO

Past

November 3, 2023 - August 23, 2024

GLOBAL RETIREMENT PARTNERS LLC

RIA

CRD#: 172011

Phoenix, AZ

Past

April 26, 2018 - June 6, 2023

SENTRY EQUITY SERVICES, INC.

CRD#: 5069

STEVENS POINT, WI

Past

June 26, 2015 - May 25, 2016

LTC INVESTMENT SERVICES, INC.

CRD#: 23750

DENVER, CO

Past

March 31, 2015 - May 13, 2015

PARK AVENUE SECURITIES LLC

CRD#: 46173

NEW YORK, NY

Past

April 16, 2014 - March 31, 2015

GUARDIAN INVESTOR SERVICES LLC

CRD#: 6635

NEW YORK, NY

Past

August 19, 2013 - November 1, 2013

BIC DISTRIBUTORS, LLC

CRD#: 152860

PHOENIX, AZ

Past

June 2, 2005 - February 13, 2013

EMPOWER FINANCIAL SERVICES, INC.

CRD#: 13109

GREENWOOD VILLAGE, CO

Past

February 19, 2004 - April 13, 2005

LPL FINANCIAL LLC

RIA

CRD#: 6413

LAKEWOOD, CO

Past

December 19, 2003 - April 13, 2005

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

August 7, 2003 - December 19, 2003

VERAVEST INVESTMENTS, INC.

CRD#: 3960

WORCESTER, MA

Past

June 4, 2002 - July 11, 2003

TCADVISORS NETWORK INC.

CRD#: 35794

CENTENNIAL, CO

Past

January 19, 2000 - May 29, 2002

GUGGENHEIM DISTRIBUTORS, LLC

CRD#: 40805

ROCKVILLE, MD

Past

September 1, 1998 - January 21, 2000

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

March 10, 1997 - September 1, 1998

SALOMON BROTHERS INC.

CRD#: 740

NEW YORK, NY

Past

October 23, 1995 - February 18, 1997

PERSHING LLC

CRD#: 7560

JERSEY CITY, NJ

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".

ALERA INVESTMENT ADVISORS, LLC

CRD#: 287906 / SEC#: 801-111892

RIA

Registered Investment Advisory firm - (10/26/2017 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/2/2023

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 2/18/2004

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/16/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6TO

Date: 1/2/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/21/1995

General Securities Representative Examination

Current Firm

ALERA INVESTMENT ADVISORS, LLC

CRD#: 287906 / SEC#: 801-111892

RIA

Registered Investment Advisory firm - (10/26/2017 Approved)

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Contact information

Main Address

Three Parkway North Suite 500, Deerfield, IL 60015-2567

Mailing Address

Phone number

(847) 457-3000

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (40 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV 2A (5/1/2025)

Regulatory assets under management

Total Number of Accounts	3,097
AUM (Assets Under Management)	$ 3,572,112,624

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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Advisor Monitoring

Firm Stability Insights

Norbert W. Naths

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ALERA RETIREMENT ADVISORS, LLC

GLOBAL RETIREMENT PARTNERS LLC

SENTRY EQUITY SERVICES, INC.

LTC INVESTMENT SERVICES, INC.

PARK AVENUE SECURITIES LLC

GUARDIAN INVESTOR SERVICES LLC

BIC DISTRIBUTORS, LLC

EMPOWER FINANCIAL SERVICES, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

VERAVEST INVESTMENTS, INC.

TCADVISORS NETWORK INC.

GUGGENHEIM DISTRIBUTORS, LLC

CITIGROUP GLOBAL MARKETS INC.

SALOMON BROTHERS INC.

PERSHING LLC

Primary Firm SEC Registration

ALERA INVESTMENT ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/2/2023

Series 66

Date: 2/18/2004

Series 63

Date: 10/16/1995

Series 6TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 9/21/1995

Current Firm

ALERA INVESTMENT ADVISORS, LLC

Contact information

SEC notice filing (40 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ALERA INVESTMENT ADVISORS, LLC

TRUST BUT VERIFY

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