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Eric M. Dye

CETERA INVESTMENT ADVISERS LLC
SCOTTSDALE, AZ 85260
Some features on this profile are disabled
CRD#: 2903627
ED

Professional summary

Eric Marvin Dye is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Scottsdale, Arizona and CETERA WEALTH SERVICES, LLC located in Scottsdale, Arizona.

Eric is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Eric has worked at 10 firms and has passed the Series 63, Series 66, Series 7TO, SIE, Series 6 and Series 7 exams.

top-8-questions

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. NAME OF OTHER BUSINESS: NETVEST FINANCIAL, LLC INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 10/2019 POSITION/TITLE/RELATIONSHIP: ADVISOR APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: ADVISOR - PROVIDE FINANCIAL SERVICES 2. FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED, SAME AS REGISTERED LOCATION, FIXED INSURANCE, START DATE 04/2021, INSURANCE AGENT, APX NUMBER OF HOURS PER WEEK: VARIES, APX NUMBER OF HOURS DURING TRADING HOURS: VARIES, SELLS LIFE, HEALTH, DISABILITY, AND MEDICARE SUPPLEMENT INSURANCE 3. NAME OF OTHER BUSINESS: NETVEST FINANCIAL - CRD#170100 INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: ADVISORY SERVICES POSITION/TITLE/RELATIONSHIP: INVESTMENT ADVISORY REPRESENTATIVE START DATE:04/2021 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: ESTATE AND TRUST FINANCIAL PLANNING

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Eric Marvin Dye'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: 9059 E Bahia Dr, Scottsdale, AZ 85260
RIA
CRD#: 105644
SCOTTSDALE, AZ
Current

March 4, 2020 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 9059 E Bahia Dr, Scottsdale, AZ 85260
BD
CRD#: 13572
Scottsdale, AZ
Past

March 29, 2021 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA
CRD#: 13572
EL SEGUNDO, CA
Past

March 4, 2020 - May 20, 2021

SUMMIT FINANCIAL GROUP INC

RIA
CRD#: 109485
SCOTTSDALE, AZ
Past

October 9, 2019 - March 13, 2020

LPL FINANCIAL LLC

RIA
CRD#: 6413
SCOTTSDALE, AZ
Past

October 8, 2019 - March 13, 2020

LPL FINANCIAL LLC

BD
CRD#: 6413
SCOTTSDALE, AZ
Past

December 7, 2018 - September 11, 2019

J.P. MORGAN SECURITIES LLC

RIA
CRD#: 79
GOODYEAR, AZ
Past

August 7, 2018 - September 11, 2019

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
GOODYEAR, AZ
Past

December 15, 2015 - May 24, 2018

EDELMAN FINANCIAL ENGINES

RIA
CRD#: 104510
Phoenix, AZ
Past

July 22, 2013 - October 1, 2015

CETERA WEALTH SERVICES, LLC

RIA
CRD#: 13572
CHIPPEWA FALLS, WI
Past

February 22, 2013 - October 1, 2015

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
CHIPPEWA FALLS, WI
Past

July 10, 2009 - February 27, 2013

INVEST FINANCIAL CORPORATION

BD
CRD#: 12984
EAU CLAIRE, WI
Past

August 22, 2008 - July 10, 2009

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
EAU CLAIRE, WI
Past

January 31, 2007 - July 31, 2008

SII INVESTMENTS, INC.

BD
CRD#: 2225
EAU CLAIRE, WI
Past

August 15, 2002 - March 31, 2003

SII INVESTMENTS, INC.

BD
CRD#: 2225
APPLETON, WI
Past

January 28, 1999 - June 18, 2002

EMPOWER FINANCIAL SERVICES, INC.

BD
CRD#: 13109
GREENWOOD VILLAGE, CO
Past

April 3, 1998 - January 20, 1999

WAMU INVESTMENTS, INC.

BD
CRD#: 599
IRVINE, 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
Arizona
(3/4/2020)
IAR
Arizona
(6/29/2023)
RR
California
(3/4/2020)

Exams

State Security Law Exam
RR
Series 63
Date: 8/17/2018
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 7/1/2013
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 7/21/2021
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 8/7/2018
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 10/1/2011
General Securities Representative Examination
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)
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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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Regulatory assets under management

Total Number of Accounts584,487
AUM (Assets Under Management)$ 163,792,814,520

Accountant surprise examination report

Filing DateForm ADV-E CoverForm 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.

Company Information

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644Scottsdale, AZ 85260

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