TH
Terry A. Helton
CETERA INVESTMENT ADVISERS LLC
VIENNA, MO 65582
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CRD#: 2860704
TH
Professional summary
Terry Alan Helton is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Vienna, Missouri and CETERA INVESTMENT SERVICES LLC located in Vienna, Missouri.
Terry is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Terry has worked at 5 firms and has passed the Series 66, Series 63, 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) PRESIDET/CEO AND CHAIRMAN OF THE BOARD FOR THE MARIES COUNTY BANK; DAY TO DAY MANAGEMENT AS WELL AS SERVING THE BOARD OF DIRECTORS WITH MEETINGS ON A MONTHLY BASIS; BOARD MEMBER OF MARIES COUNTY BANCORP; OVERSITE OF BANK HOLDING COMPANY; TRUSTEE FOR MARIES COUNTY BANCORP ESOP; WORKING WITH PLAN ADMINISTRATOR TO COMPLETE THE TAX DOCUMENTS, COMPLETE DISTRIBUTIONS, DISTRIBUTE EMPLOYEE STATEMENTS; TRUSTEE FOR MARIES COUNTY BANCORP 401K PLAN; WORK WITH PLAN ADVISORS TO ASSIST IN COMPLETION OF TAX DOCUMENTS AND OVERSIGHT OF THE PLAN
CRS (Client Relationship Summary) - RIA
Click below to view Terry Alan Helton'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®
NoneExperience
Current
June 10, 2016 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 205 Highway 63 North, Vienna, MO 65582RIA
CRD#: 105644
VIENNA, MO
Current
June 10, 2016 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 205 Highway 63 North, Vienna, MO 65582BD
CRD#: 15340
Vienna, MO
Past
July 10, 2015 - June 13, 2016
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
VIENNA, MO
Past
October 3, 2005 - June 13, 2016
SECURITIES AMERICA, INC.
BD
CRD#: 10205
VIENNA, MO
Past
June 13, 1997 - October 4, 2005
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
EL SEGUNDO, CA
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
Alabama(2/3/2017)
RR
Missouri(6/10/2016)
IAR
Missouri(6/10/2016)
RR
New Mexico(9/29/2020)
Exams
State Security Law Exam
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.
