Ronald W. Lwin

CETERA INVESTMENT ADVISERS LLC

DUBLIN, CA

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CRD#: 2847910

Professional summary

Ronald Wynn Lwin is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Dublin, California and CETERA WEALTH SERVICES, LLC located in Dublin, California.

Ronald is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Ronald has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 10, Series 9 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) Abacus Tax Preparations~'NIR'~6130 Stoneridge Mall Rd. Suite 105~Pleasanton~CA~94588~Tax Preparation/Accounting~Tax Preparation/Accounting~3/22/2011~60hrs~0hrs~Prepare Individual and Business Tax Returns 2)Wynn Financial Services~'NIR'~6130 Stoneridge Mall Rd. ste. 105~Pleasanton~CA~94588~Other~Owner/Sole Proprietor~8/1/2007~140hrs~7hrs~Operational and/or Marketing Name | 3) Wynn Real Estate~'NIR'~4695 Chabot Dr., Suite 200~Pleasanton~CA~94588~Real Estate/Mortgage/Title Services/Appraisal~Real Estate Sales Associate~4/1/2013~100hrs~8hrs~Real Estate & Property Management 4)Wynn Off Road~'NIR'~4695 CHABOT DR STE 200~PLEASANTON~CA~94588~Other~Owner~2/14/2019~20hrs~0hrs~Establish and maintain an online purchasing site. Establish relationships with wholesale distributors and directly communicate with parts manufacturers for wholesale pricing with the intent for resale. Most of the time will be spent fulfilling orders and managing operating costs.|

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ronald Wynn Lwin'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

September 5, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

DUBLIN, CA

Current

September 5, 2025 - Present

CETERA WEALTH SERVICES, LLC

CRD#: 13572

Dublin, CA

Past

September 25, 2007 - September 5, 2025

AVANTAX ADVISORY SERVICES

RIA

CRD#: 104556

DUBLIN, CA

Past

August 29, 2007 - September 5, 2025

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

Dublin, CA

Past

February 20, 2007 - August 22, 2007

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

WALNUT CREEK, CA

Past

February 20, 2007 - August 22, 2007

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WALNUT CREEK, CA

Past

March 26, 2004 - January 24, 2007

ATLAS SECURITIES, LLC

CRD#: 20991

CASTRO VALLEY, CA

Past

June 17, 2002 - December 6, 2002

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

HAYWARD, CA

Past

May 14, 1998 - December 6, 2002

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

February 24, 1997 - March 12, 1998

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
(9/5/2025)

California
(9/5/2025)

IAR

California
(9/5/2025)

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

IAR

Series 65

Date: 5/23/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/22/1997

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: 5/11/1998

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 2/22/1997

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 10

Date: 8/15/2006

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 8/11/2006

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 24

Date: 11/1/2005

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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Ronald W. Lwin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ronald Wynn Lwin's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

AVANTAX ADVISORY SERVICES

AVANTAX INVESTMENT SERVICES, INC.

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

ATLAS SECURITIES, LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/23/2002

Series 63

Date: 2/22/1997

SIE

Date: 10/1/2018

Series 7

Date: 5/11/1998

Series 6

Date: 2/22/1997

Series 10

Date: 8/15/2006

Series 9

Date: 8/11/2006

Series 24

Date: 11/1/2005

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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