Travis J. Wavrin

CETERA INVESTMENT ADVISERS LLC

ST CLOUD, MN 56301

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CRD#: 2714477

Professional summary

Travis John Wavrin is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in St Cloud, Minnesota and CETERA INVESTMENT SERVICES LLC located in St Cloud, Minnesota.

Travis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Travis has worked at 9 firms and has passed the Series 63, 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.) ST CLOUD LACROSSE BOOSTER CLUB, BOARD POSITION/TREASURER, CHECKS REQUIRE DUAL SIGNERS, <1HR/WK

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Travis John Wavrin'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

January 31, 2014 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 400 1st St S Ste 300, St Cloud, MN 56301

RIA

CRD#: 105644

ST CLOUD, MN

Current

March 20, 1996 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 400 1st St S Ste 300, St Cloud, MN 56301

CRD#: 15340

St Cloud, MN

Current

April 5, 2017 - Present

CETERA ADVISORS LLC

Office #1: 400 1st Street S Ste 300 A, St Cloud, MN 56301

CRD#: 10299

St Cloud, MN

Current

June 8, 2017 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 400 1st St S Ste 300, St Cloud, MN 56301Office #2: 400 1st St S Ste 300, St Cloud, MN 56301

CRD#: 13572

ST CLOUD, MN

Past

January 23, 2025 - September 5, 2025

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

ST CLOUD, MN

Past

April 3, 2018 - July 1, 2020

CETERA FINANCIAL SPECIALISTS LLC

CRD#: 10358

ST CLOUD, MN

Past

April 28, 2017 - March 21, 2024

CETERA ADVISORS LLC

RIA

CRD#: 10299

GREENWOOD VILLAGE, IL

Past

January 29, 2014 - January 31, 2014

CETERA INVESTMENT SERVICES LLC

RIA

CRD#: 15340

SULLIVAN, MO

Past

January 5, 2005 - December 31, 2010

GUARANTY BROKERAGE SERVICES, INC.

CRD#: 23302

ST. CLOUD, MN

Past

August 7, 2001 - November 6, 2001

GUARANTY BROKERAGE SERVICES, INC.

CRD#: 23302

ST. CLOUD, MN

Past

August 7, 2001 - November 14, 2003

BANCWEST INVESTMENT SERVICES, INC.

CRD#: 29357

OMAHA, NE

Past

June 17, 1999 - December 31, 2006

BANCNORTH INVESTMENT GROUP, INC.

CRD#: 31299

ST. CLOUD, 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

California
(8/15/2017)

Florida
(9/17/1998)

Illinois
(1/8/2021)

Iowa
(1/8/2021)

Kansas
(1/7/2021)

Louisiana
(1/7/2021)

Maine
(8/21/2017)

Michigan
(1/7/2021)

Minnesota
(5/1/1996)

IAR

Minnesota
(1/31/2014)

Mississippi
(1/8/2021)

Montana
(1/7/2021)

New Jersey
(1/7/2021)

New York
(8/15/2017)

North Dakota
(1/8/2021)

Oklahoma
(1/7/2021)

South Dakota
(1/8/2021)

Utah
(1/7/2021)

Virginia
(2/23/2016)

West Virginia
(1/7/2021)

Wisconsin
(1/7/2021)

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: 3/26/1996

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: 10/29/1997

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 2/29/1996

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/12/1999

General Securities Principal 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

Travis J. Wavrin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Travis John Wavrin's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

CETERA ADVISORS LLC

CETERA WEALTH SERVICES, LLC

AVANTAX INVESTMENT SERVICES, INC.

CETERA FINANCIAL SPECIALISTS LLC

CETERA ADVISORS LLC

CETERA INVESTMENT SERVICES LLC

GUARANTY BROKERAGE SERVICES, INC.

GUARANTY BROKERAGE SERVICES, INC.

BANCWEST INVESTMENT SERVICES, INC.

BANCNORTH INVESTMENT GROUP, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 3/26/1996

SIE

Date: 10/1/2018

Series 7

Date: 10/29/1997

Series 6

Date: 2/29/1996

Series 24

Date: 3/12/1999

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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