JL
Jason E. Lupinek
CETERA INVESTMENT ADVISERS LLC
ST CLOUD, MN 56301
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CRD#: 2992408
JL
Professional summary
Jason Edward Lupinek, ChFC®, who also goes by Lupi Lupinek, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in St Cloud, Minnesota and CETERA INVESTMENT SERVICES LLC located in St Cloud, Minnesota.
Jason is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Jason has worked at 6 firms and has passed the Series 66, Series 57TO, SIE, Series 55, Series 7 and Series 4 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Lupi Lupinek
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.
LAWN THATCHING, 100% OWNERSHIP INTEREST, 5 HRS/WEEK - SEASONAL APRIL AND MAY, UNDER $1000/YEAR, NON-INVESTMENT RELATED.
CRS (Client Relationship Summary) - RIA
Click below to view Jason Edward Lupinek'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®
Experience
Current
January 21, 2014 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 400 1st St S Ste 300, St Cloud, MN 56301RIA
CRD#: 105644
ST CLOUD, MN
Current
August 18, 1998 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 400 1st St S Ste 300, St Cloud, MN 56301BD
CRD#: 15340
St Cloud, MN
Past
August 21, 2009 - December 31, 2010
GUARANTY BROKERAGE SERVICES, INC.
BD
CRD#: 23302
ST. CLOUD, MN
Past
November 30, 2007 - January 21, 2014
CETERA INVESTMENT SERVICES LLC
RIA
CRD#: 15340
ST. CLOUD, MN
Past
November 5, 2001 - January 30, 2002
BANCWEST INVESTMENT SERVICES, INC.
BD
CRD#: 29357
OMAHA, NE
Past
August 1, 2001 - October 30, 2001
BANCNORTH INVESTMENT GROUP, INC.
BD
CRD#: 31299
ST. CLOUD, MN
Past
March 8, 2000 - July 28, 2006
GUARANTY BROKERAGE SERVICES, INC.
BD
CRD#: 23302
ST. CLOUD, MN
Past
March 7, 2000 - November 1, 2001
BANCWEST INVESTMENT SERVICES, INC.
BD
CRD#: 29357
OMAHA, NE
Past
January 15, 1998 - June 19, 1998
PRUCO SECURITIES, LLC.
BD
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".
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(9/21/1998)
RR
Alaska(6/30/2000)
RR
Arizona(9/21/1998)
RR
Arkansas(9/22/1998)
RR
California(9/21/1998)
RR
Colorado(9/21/1998)
RR
Connecticut(6/30/2000)
RR
Delaware(6/30/2000)
RR
District of Columbia(6/30/2000)
RR
Florida(9/22/1998)
RR
Georgia(9/21/1998)
RR
Hawaii(6/30/2000)
RR
Idaho(10/18/1999)
RR
Illinois(9/21/1998)
RR
Indiana(9/21/1998)
RR
Iowa(9/23/1998)
RR
Kansas(9/21/1998)
RR
Kentucky(9/22/1998)
RR
Louisiana(9/21/1998)
RR
Maine(7/5/2000)
RR
Maryland(9/21/1998)
RR
Massachusetts(9/21/1998)
RR
Michigan(9/24/1998)
RR
Minnesota(8/19/1998)
IAR
Minnesota(1/21/2014)
RR
Mississippi(9/23/1998)
RR
Missouri(9/22/1998)
RR
Montana(9/22/1998)
RR
Nebraska(9/21/1998)
RR
Nevada(9/21/1998)
RR
New Hampshire(6/30/2000)
RR
New Jersey(6/30/2000)
RR
New Mexico(10/13/1998)
RR
New York(9/21/1998)
RR
North Carolina(6/30/2000)
RR
North Dakota(9/25/1998)
RR
Ohio(9/22/1998)
RR
Oklahoma(9/21/1998)
RR
Oregon(9/21/1998)
RR
Pennsylvania(9/21/1998)
RR
Rhode Island(7/3/2000)
RR
South Carolina(9/22/1998)
RR
South Dakota(9/21/1998)
RR
Tennessee(9/23/1998)
RR
Texas(9/22/1998)
IAR
Texas(4/5/2019)
RR
Utah(6/30/2000)
RR
Vermont(7/3/2000)
RR
Virgin Islands(4/24/2019)
RR
Virginia(9/22/1998)
RR
Washington(9/21/1998)
RR
West Virginia(9/21/1998)
RR
Wisconsin(9/22/1998)
RR
Wyoming(6/30/2000)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 7/6/2000
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory 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
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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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644St Cloud, MN 56301TRUST BUT VERIFY
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