CE
Craig D. Emerson
CETERA INVESTMENT ADVISERS LLC
GREENWOOD VILLAGE, CO 80111
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CRD#: 2761245
CE
Professional summary
Craig Drewes Emerson, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Greenwood Village, Colorado and CETERA WEALTH SERVICES, LLC located in Greenwood Village, Colorado.
Craig is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Craig has worked at 6 firms and has passed the Series 66, SIE and Series 7 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)- - CRAIG EMERSON; IS INVESTMENT RELATED; 5350 SOUTH ROSLYN STREET, SUITE 370, GREENWOOD VILLAGE, CO 80111; FIXED AND TRADITIONAL INSURANCE; AGENT; BEGAN FEBRUARY 2003; APPROXIMATELY 10 HOURS PER MONTH AND DURING TRADING HOURS; FIXED AND TRADITIONAL INSURANCE SALES.
(2) - - Name of other business: Fourest, LLC
Investment related: Yes
Address: Same as Registered Location
Nature of business: Advisory Business
Position/title/relationship: Advisory Representative
Start Date: 04/2009
Apx number of hours per week: 40
Apx number of hours during trading hours: 32.5
Brief description of duties: Name of advisory business
(3) - - OAK SHADE CAPITAL MANAGEMENT; NOT INVESTMENT RELATED; 6169 SOUTH FULTON STREET, ENGLEWOOD, CO 80111; S-CORP FOR TAX PURPOSES; OWNER; STARTED 1/1/2003; 0 HOURS/MONTH, 0 HOURS DURING TRADING; USED FOR TAX PURPOSES
CRS (Client Relationship Summary) - RIA
Click below to view Craig Drewes Emerson's 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®
CFP®
Start date: 2009
Experience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 5350 South Roslyn Street Ste 370, Greenwood Village, CO 80111RIA
CRD#: 105644
GREENWOOD VILLAGE, CO
Current
September 20, 2019 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 5350 South Roslyn Street Ste 370, Greenwood Village, CO 80111BD
CRD#: 13572
Greenwood Village, CO
Past
May 20, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
September 2, 2016 - November 2, 2016
VSR FINANCIAL SERVICES, INC.
RIA
CRD#: 14503
GREENWOOD VILLAGE, CO
Past
September 2, 2016 - November 2, 2016
VSR FINANCIAL SERVICES, INC.
BD
CRD#: 14503
GREENWOOD VILLAGE, CO
Past
September 1, 2016 - May 20, 2021
SUMMIT FINANCIAL GROUP INC
RIA
CRD#: 109485
GREENWOOD VILLAGE, CO
Past
September 1, 2016 - September 20, 2019
SUMMIT BROKERAGE SERVICES, INC.
BD
CRD#: 34643
GREENWOOD VILLAGE, CO
Past
October 30, 2009 - September 1, 2016
VSR FINANCIAL SERVICES, INC.
RIA
CRD#: 14503
GREENWOOD VILLAGE, CO
Past
October 30, 2009 - September 1, 2016
VSR FINANCIAL SERVICES, INC.
BD
CRD#: 14503
GREENWOOD VILLAGE, CO
Past
January 29, 2004 - November 4, 2009
GROVE POINT INVESTMENTS, LLC
RIA
CRD#: 1763
GREENWOOD VILLAGE, CO
Past
June 27, 2003 - November 4, 2009
GROVE POINT INVESTMENTS, LLC
BD
CRD#: 1763
GREENWOOD VILLAGE, CO
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
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.RR
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
RR
Arizona(9/20/2019)
RR
Arkansas(10/7/2022)
RR
California(9/20/2019)
RR
Colorado(9/20/2019)
IAR
Colorado(6/29/2023)
RR
Connecticut(9/20/2019)
RR
Florida(9/21/2019)
RR
Georgia(9/20/2019)
RR
Illinois(9/20/2019)
RR
Kansas(4/9/2025)
RR
Kentucky(9/20/2019)
RR
Maryland(9/20/2019)
RR
Massachusetts(9/20/2019)
RR
Michigan(6/8/2021)
RR
Missouri(9/20/2019)
RR
Montana(9/20/2019)
RR
Nebraska(9/20/2019)
RR
Nevada(9/20/2019)
RR
New Jersey(3/22/2022)
RR
New Mexico(9/20/2019)
RR
New York(9/20/2019)
RR
North Carolina(12/19/2019)
RR
Ohio(9/20/2019)
RR
Pennsylvania(9/20/2019)
RR
South Carolina(8/24/2022)
RR
Texas(9/20/2019)
IAR
Texas(6/29/2023)
RR
Virginia(9/20/2019)
RR
Wisconsin(9/20/2019)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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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)
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 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
