William S. Christie

CETERA INVESTMENT ADVISERS LLC

OVERLAND PARK, KS 66210

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CRD#: 2965342

Professional summary

William Stewart Christie, who also goes by Joe Christie, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Overland Park, Kansas and CETERA ADVISORS LLC located in Overland Park, Kansas.

William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. William has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Joe Christie

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)DBA: PROSPERITY ASSOCIATES, INVESTMENT RELATED, ADDRESS SAME AS REGISTERED LOCATION, INSURANCE, INVESTMENT, AND FINANCIAL PLANNING SERVICES, START FEBRUARY 2014, 40 HOURS PER WEEK - DURING TRADING HOURS, FINANCIAL ADVISOR 2)FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED, ADDRESS SAME AS REGISTERED LOCATION, START FEBRUARY 2014, 2 HOURS PER WEEK - VARIES DURING TRADING HOURS, INSURANCE AGENT - SELLS LIFE, HEALTH, LONG-TERM CARE AND ANNUITIES. 3)TENNIS INSTRUCTOR, NOT INVESTMENT RELATED, 2001 WEST 47TH PLACE, WESTWOOD, KS 66205, START SEPTEMBER 1997, 2-3 HOURS PER WEEK - NOT DURING TRADING HOURS, INSTRUCTOR.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Stewart Christie'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

March 21, 2024 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 10955 Lowell Ave Ste 400, Overland Park, KS 66210

RIA

CRD#: 105644

OVERLAND PARK, KS

Current

February 10, 2014 - Present

CETERA ADVISORS LLC

Office #1: 10955 Lowell Ave Ste 400, Overland Park, KS 66210

CRD#: 10299

Overland Park, KS

Past

February 19, 2014 - March 21, 2024

CETERA ADVISORS LLC

RIA

CRD#: 10299

GREENWOOD VILLAGE, IL

Past

March 28, 2002 - February 7, 2014

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

KANSAS CITY, MO

Past

March 5, 2002 - February 7, 2014

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

KANSAS CITY, MO

Past

November 14, 2000 - January 30, 2002

AMERICAN CENTURY BROKERAGE, INC.

CRD#: 42846

KANSAS CITY, MO

Past

May 28, 1998 - November 21, 2000

AMERICAN CENTURY INVESTMENT SERVICES INC.

CRD#: 17437

KANSAS CITY, MO

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

Kansas
(2/10/2014)

IAR

Kansas
(3/21/2024)

Missouri
(2/10/2014)

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: 3/27/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/25/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 6/28/2007

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 11/13/2000

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 5/27/1998

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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William S. Christie

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Stewart Christie's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA ADVISORS LLC

CETERA ADVISORS LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

AMERICAN CENTURY BROKERAGE, INC.

AMERICAN CENTURY INVESTMENT SERVICES INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/27/2002

Series 63

Date: 3/25/1998

SIE

Date: 10/1/2018

Series 31

Date: 6/28/2007

Series 7

Date: 11/13/2000

Series 6

Date: 5/27/1998

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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