Michael A. Litch

CETERA INVESTMENT ADVISERS LLC

Plymouth, MN 55447

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CRD#: 3004709

Professional summary

Michael Alan Litch is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Plymouth, Minnesota and CETERA WEALTH SERVICES, LLC located in Plymouth, Minnesota.

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

NAME OF ENTITY:Michael A. Litch, Ltd; No; 3225 FERNBROOK LANE NORTH; PLYMOUTH; MN; 55447; Certified public accounting; CPA; 6/1/1994; 100; 80; accounting, consulting and tax related services|NAME OF ENTITY:LITCH FINANCIAL; Yes; 3225 FERNBROOK LANE NORTH STE 201; PLYMOUTH; MN; 55447; FINANCIAL SERVICES/DBA; OWNER/FINANCIAL ADVISOR; 2/11/2014; 100; 100; SALE OF INSURANCE,SECURITIES AND INVESTMENT PRODUCTS|NAME OF ENTITY: INDEPENDENT INSURANCE AGENT; Yes; 3255 FERNBROOK LANE NORTH STE 201; PLYMOUTH; MN; 55447; FIXED INSURANCE SALES; INDEPENDENT INSURANCE AGENT; 2/11/2014; 160; 160; SALES OF FIXED INSURANCE PRODUCTS|

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Alan Litch'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: 3255 Fernbrook Lane North, Ste 201, Plymouth, MN 55447

RIA

CRD#: 105644

Plymouth, MN

Current

June 9, 2021 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 3255 Fernbrook Lane North, Ste 201, Plymouth, MN 55447

CRD#: 13572

Plymouth, MN

Past

June 9, 2021 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

EL SEGUNDO, CA

Past

October 31, 2017 - June 9, 2021

VOYA FINANCIAL ADVISORS, INC.

RIA

CRD#: 2882

Plymouth, MN

Past

October 26, 2017 - June 9, 2021

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

Plymouth, MN

Past

April 21, 2016 - October 26, 2017

NATIONAL PLANNING CORPORATION

RIA

CRD#: 29604

Plymouth, MN

Past

April 21, 2016 - October 26, 2017

NATIONAL PLANNING CORPORATION

CRD#: 29604

Plymouth, MN

Past

May 28, 2014 - April 22, 2016

VOYA FINANCIAL ADVISORS, INC.

RIA

CRD#: 2882

PLYMOUTH, MN

Past

February 11, 2014 - April 22, 2016

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

PLYMOUTH, MN

Past

October 26, 2006 - December 31, 2013

MADISON AVENUE SECURITIES, LLC

CRD#: 23224

WAYZATA, MN

Past

May 29, 1998 - October 6, 2006

1ST GLOBAL CAPITAL CORP.

CRD#: 30349

WAYZATA, MN

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

Florida
(7/8/2025)

Minnesota
(6/9/2021)

IAR

Minnesota
(6/29/2023)

Wisconsin
(6/24/2025)

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 66

Date: 4/24/1998

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/13/2003

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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Advisor Monitoring

Firm Stability Insights

Michael A. Litch

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Alan Litch's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

NATIONAL PLANNING CORPORATION

NATIONAL PLANNING CORPORATION

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

MADISON AVENUE SECURITIES, LLC

1ST GLOBAL CAPITAL CORP.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/24/1998

SIE

Date: 10/1/2018

Series 7

Date: 2/13/2003

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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