JS
Jerry F. Shirley
CETERA INVESTMENT ADVISERS LLC
TROY, AL 36081
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CRD#: 2973500
JS
Professional summary
Jerry Floyd Shirley III, who also goes by Jay Shirley III, Jerry Floyd III Shirley, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Troy, Alabama and CETERA WEALTH SERVICES, LLC located in Troy, Alabama.
Jerry is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Jerry has worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jay Shirley Iii | Jerry Floyd Iii Shirley
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) RENTAL PROPERTY OWNER 1223 SOUTH BRUNDIDGE STREET~TROY~AL~36081~Rental Property Owner/Management~Owner/Sole Proprietor~1/1/1993~1hrs~1hrs~RENTAL PROPERTY OWNER 2) J.F. Shirley, Inc.1223 SOUTH BRUNDIDGE STREET~TROY~AL~36081~Tax Preparation/Accounting~President~7/1/1999~173hrs~120hrs~CPA and loan originator-see Shirley mortgage co. for description on loan aspects 3)INSURANCE 1223 SOUTH BRUNDIDGE STREET~TROY~AL~36081~Independent Insurance Agent~Owner/Sole Proprietor~9/27/2006~1hrs~1hrs~INSURANCE SALES 4) SAV-A LIFE INC.523 S 3 NOTCH STREET~TROY~AL~36081~Board Position/Officer~Other~12/4/2017~3hrs~3hrs~PAYROLL, BANK RECONCILIATIONS, FINANCIAL REPORTING 5) EQUIPMENT FINANCE POSITION: Owner NATURE: My landscaper, not a client or prospective investment client, and employer of my son-in-law has asked me to refinance an excavator for him. The finance arrangement will include me being paid a percentage of the hourly equipment charge he bills for using this excavator. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 09/12/2023 ADDRESS: 1223 South Brundidge Street, Troy AL 36081, United States DESCRIPTION: I will make a personal loan to pay off the current lender. 6) FOURTH FLOYD LLC POSITION: Managing member NATURE: Tiny house trailer manufacturing. INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 4 START DATE: 10/07/2024 ADDRESS: 1223 South Brundidge Street, Troy AL 36081, United States DESCRIPTION: Executive management, budgeting, bookkeeping and tax compliance
CRS (Client Relationship Summary) - RIA
Click below to view Jerry Floyd Shirley III'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
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 1223 South Brundidgr Street, Troy, AL 36081RIA
CRD#: 105644
TROY, AL
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 1223 South Brundidge Street, Troy, AL 36081BD
CRD#: 13572
TROY, AL
Past
August 25, 1998 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
TROY, AL
Past
January 7, 1998 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
TROY, AL
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(9/5/2025)
IAR
Alabama(9/5/2025)
RR
Arizona(9/5/2025)
RR
Florida(9/5/2025)
RR
Georgia(9/5/2025)
RR
Indiana(9/5/2025)
RR
Kentucky(9/5/2025)
RR
Tennessee(9/5/2025)
Exams
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.
