Clay D. Cuthbertson

CETERA INVESTMENT ADVISERS LLC

QUINCY, IL

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CRD#: 2712907

Professional summary

Clay Dennis Cuthbertson is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Quincy, Illinois and CETERA ADVISORS LLC located in Quincy, Illinois.

Clay is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Clay has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 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. INSURANCE, CUTHBERTSON FINANCIAL ADVANTAGE - DBA, 22 NORTHPORT PLAZA, NUMBER A., HANNIBAL, MO 63401. 2. WILLIAM WOODS UNIVERSITY, NOT INVESTMENT RELATED, 1 UNIVERSITY AVE, FULTON, MO 65251, START 8/13/2013, 8 HOURS A WEEK/8 WEEKS, NOT DURING TRADING HOURS, ADJUNCT PROFESSOR AT GRADUATE COLLEGE TEACH FINANCE.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Clay Dennis Cuthbertson'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

March 21, 2024 - Present

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

QUINCY, IL

Current

December 8, 2011 - Present

CETERA ADVISORS LLC

CRD#: 10299

QUINCY, IL

Past

December 8, 2011 - March 21, 2024

CETERA ADVISORS LLC

RIA

CRD#: 10299

GREENWOOD VILLAGE, IL

Past

January 11, 2006 - November 23, 2011

U.S. BANCORP INVESTMENTS, INC.

RIA

CRD#: 17868

BOWLING GREEN, MO

Past

December 1, 2001 - November 23, 2011

U.S. BANCORP INVESTMENTS, INC.

CRD#: 17868

BOWLING GREEN, MO

Past

January 3, 2000 - December 1, 2001

FIRSTAR INVESTMENT SERVICES,INC.

CRD#: 14536

MORRIS PLAINS, NJ

Past

April 19, 1999 - January 3, 2000

MERCANTILE INVESTMENT SERVICES, INC.

CRD#: 19908

ST. LOUIS, MO

Past

September 24, 1998 - April 19, 1999

SECURITIES AMERICA, INC.

CRD#: 10205

LAVISTA, NE

Past

September 30, 1996 - July 8, 1998

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

September 30, 1996 - July 8, 1998

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

Past

February 28, 1996 - July 8, 1996

NYLIFE SECURITIES LLC

CRD#: 5167

NEW YORK, NY

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

Georgia
(7/23/2013)

Illinois
(12/8/2011)

IAR

Illinois
(3/21/2024)

Iowa
(9/30/2024)

Missouri
(12/8/2011)

Nevada
(3/14/2012)

North Carolina
(8/14/2024)

Virginia
(12/22/2011)

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: 5/8/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/27/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/23/1998

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 2/27/1996

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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Clay D. Cuthbertson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Clay Dennis Cuthbertson's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA ADVISORS LLC

CETERA ADVISORS LLC

U.S. BANCORP INVESTMENTS, INC.

U.S. BANCORP INVESTMENTS, INC.

FIRSTAR INVESTMENT SERVICES,INC.

MERCANTILE INVESTMENT SERVICES, INC.

SECURITIES AMERICA, INC.

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

NYLIFE SECURITIES LLC

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/8/1998

Series 63

Date: 2/27/1996

SIE

Date: 10/1/2018

Series 7

Date: 9/23/1998

Series 6

Date: 2/27/1996

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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