Randy R. Grose

CETERA INVESTMENT ADVISERS LLC

LITTLETON, CO 80120

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CRD#: 2675274

Professional summary

Randy Russell Grose, AIF®, who also goes by Randy R Grose, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Littleton, Colorado and CETERA WEALTH SERVICES, LLC located in Littleton, Colorado.

Randy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Randy has worked at 16 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Randy R Grose

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: CC COACHING AND CONSULTING INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 4/2025 POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL APX NUMBER OF HOURS PER WEEK: 10 APX NUMBER OF HOURS DURING TRADING HOURS: 10 BRIEF DESCRIPTION OF DUTIES: EDUCATION;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Randy Russell Grose'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®

AIF^®

Accredited Investment Fiduciary

Experience

Current

May 1, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 5595 S Sycamore St, Littleton, CO 80120

RIA

CRD#: 105644

LITTLETON, CO

Current

May 1, 2025 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 5595 S Sycamore St, Littleton, CO 80120

CRD#: 13572

Littleton, CO

Past

July 4, 2022 - June 23, 2023

GLOBAL RETIREMENT PARTNERS LLC

RIA

CRD#: 172011

Denver, CO

Past

August 15, 2017 - October 25, 2022

SHERIDAN ROAD ADVISORS, LLC, A HUB INTERNATIONAL COMPANY

RIA

CRD#: 293807

Greenwood Village, CO

Past

January 9, 2017 - December 31, 2018

INDEPENDENT FINANCIAL PARTNERS

RIA

CRD#: 125112

Englewood, CO

Past

October 31, 2011 - July 5, 2023

LPL FINANCIAL LLC

RIA

CRD#: 6413

DENVER, CO

Past

October 31, 2011 - July 5, 2023

LPL FINANCIAL LLC

CRD#: 6413

DENVER, CO

Past

July 25, 2005 - October 31, 2011

PRINCIPAL SECURITIES, INC.

RIA

CRD#: 1137

GREENWOOD VILLAGE, CO

Past

June 1, 2005 - October 31, 2011

PRINCIPAL SECURITIES, INC.

CRD#: 1137

GREENWOOD VILLAGE, CO

Past

June 3, 2004 - September 22, 2004

RAYMOND JAMES FINANCIAL SERVICES, INC.

RIA

CRD#: 6694

DENVER, CO

Past

May 27, 2004 - September 22, 2004

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

ST. PETERSBURG, FL

Past

October 25, 2002 - January 6, 2004

GBS RETIREMENT SERVICES, INC.

CRD#: 34889

ROLLING MEADOWS, IL

Past

January 24, 2001 - October 23, 2002

STANCORP INVESTMENT ADVISERS, INC.

RIA

CRD#: 110228

DENVER, CO

Past

May 19, 1997 - October 22, 2002

SUNAMERICA SECURITIES, INC.

CRD#: 20068

PHOENIX, AZ

Past

November 1, 1996 - November 4, 1996

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

March 25, 1996 - June 3, 1997

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

CRD#: 4039

NEW YORK, NY

Past

March 25, 1996 - June 3, 1997

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

Past

December 13, 1995 - January 30, 1996

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

December 13, 1995 - January 30, 1996

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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

Colorado
(5/1/2025)

IAR

Colorado
(5/1/2025)

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

Series 63

Date: 3/20/2007

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 12/28/1999

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/12/1995

General Securities 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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Randy R. Grose

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Randy Russell Grose's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

GLOBAL RETIREMENT PARTNERS LLC

SHERIDAN ROAD ADVISORS, LLC, A HUB INTERNATIONAL COMPANY

INDEPENDENT FINANCIAL PARTNERS

LPL FINANCIAL LLC

LPL FINANCIAL LLC

PRINCIPAL SECURITIES, INC.

PRINCIPAL SECURITIES, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

GBS RETIREMENT SERVICES, INC.

STANCORP INVESTMENT ADVISERS, INC.

SUNAMERICA SECURITIES, INC.

OSAIC WEALTH, INC.

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

EQUITABLE ADVISORS, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 3/20/2007

Series 65

Date: 12/28/1999

SIE

Date: 10/1/2018

Series 7

Date: 12/12/1995

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

Contact information

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