Curtis E. Shambaugh

CETERA INVESTMENT ADVISERS LLC

PEACH BOTTOM, PA 17563

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CRD#: 2843860

Professional summary

Curtis Eugene Shambaugh is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Peach Bottom, Pennsylvania and CETERA WEALTH SERVICES, LLC located in Peach Bottom, Pennsylvania.

Curtis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Curtis has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 62 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) VARIOUS INSURANCE COMPANIES, INSURANCE, REPRESENTATIVE - SELLS FIXED INSURANCE - LIFE, ANNUITIES AND LTC; (2) SHAMBAUGH FINANCIAL LLC, INVESTMENT RELATED, SAME AS REGISTERED ADDRESS, DBA NAME FOR FINANCIAL SERVICES, START 11/2007, 35HRS/WK (32.5 TRADING HOURS), FINANCIAL ADVISOR;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Curtis Eugene Shambaugh'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

June 29, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 1842 Lancaster Pike, Peach Bottom, PA 17563

RIA

CRD#: 105644

PEACH BOTTOM, PA

Current

November 16, 2007 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 1842 Lancaster Pike, Peach Bottom, PA 17563

CRD#: 13572

Peach Bottom, PA

Past

February 8, 2008 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

EL SEGUNDO, CA

Past

April 9, 2004 - December 3, 2007

BAINBRIDGE SECURITIES INC.

CRD#: 36757

QUARRYVILLE, PA

Past

February 3, 2004 - February 26, 2004

BAINBRIDGE SECURITIES INC.

CRD#: 36757

YARDLEY, PA

Past

September 11, 2003 - April 14, 2004

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

QUARRYVILLE, PA

Past

May 1, 2003 - April 14, 2004

CETERA WEALTH SERVICES, LLC

CRD#: 13572

EL SEGUNDO, CA

Past

July 17, 2001 - May 1, 2003

T.H.E. FINANCIAL GROUP, LTD

CRD#: 14720

MECHANICSBURG, PA

Past

February 6, 1997 - July 20, 2001

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, 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".

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

Arizona
(2/21/2023)

California
(3/1/2024)

Delaware
(5/28/2019)

Florida
(1/3/2019)

Maryland
(11/16/2007)

New Jersey
(1/11/2016)

Pennsylvania
(11/16/2007)

IAR

Pennsylvania
(6/29/2023)

Virginia
(2/19/2009)

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: 7/12/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/5/1997

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: 5/11/2005

General Securities Representative Examination

General Industry/Product Exam

Series 62

Date: 10/25/2002

Corporate Securities Limited Representative Examination

General Industry/Product Exam

Series 6

Date: 2/5/1997

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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Curtis E. Shambaugh

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Curtis Eugene Shambaugh's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

BAINBRIDGE SECURITIES INC.

BAINBRIDGE SECURITIES INC.

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

T.H.E. FINANCIAL GROUP, LTD

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/12/2001

Series 63

Date: 2/5/1997

SIE

Date: 10/1/2018

Series 7

Date: 5/11/2005

Series 62

Date: 10/25/2002

Series 6

Date: 2/5/1997

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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