Alan S. Nastali
CETERA INVESTMENT ADVISERS LLC
OAKBROOK TERRACE, IL 60181
Some features on this profile are disabled
CRD#: 3072079
Professional summary
Alan S Nastali JR, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Oakbrook Terrace, Illinois and CETERA FINANCIAL SPECIALISTS LLC located in Oak Brook Terrace, Illinois.
Alan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Alan has worked at 2 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 62 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.
1)FORTIS HEALTH INSURANCE, NOT INV REL-POSITION IS SALES-AFFILIATION DATE WAS 01/01/03, HOURS PER WEEK INVOLVED IN THE BUSINESS IS 1; 2)BLUE CROSS/BLUE SHIELD, NOT INV REL-POSITION IS SELLING HEALTH INSURANCE-1 HOUR A WEEK; 3) SELLS DISABILITY INSURANCE, NOT INV REL, 1H/WEEK, SINCE 08/2006; 4) SELLS PROPERTY AND CASUALTY INSURANCE; 1 HOUR/WEEK; SINCE 5/2015; 5) COLLECTIBLES INSURANCE SERVICES LLC; NOT INV-REL; SAME AS REGISTERED ADDRESS; INSURANCE SALES; START DATE 9/2014; 1 HR/WEEK DURING TRADING HOURS; OFFER COLLECTIBLES INSURANCE TO CLIENTS COVERING COLLECTIBLES, ART, COINS, STAMPS, ETC. 6) NAME OF OTHER BUSINESS: WISDOM INSURANCE INVESTMENT RELATED: NO ADDRESS: N23W 28190 BEACH PARK CIRCLE PEWAUKU WI 53072 NATURE OF BUSINESS: HOME, AUTO, BUSINESS INSURANCE START DATE: 1/2017 APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 1 POSITION/TITLE/RELATIONSHIP: REFERRALS BRIEF DESCRIPTION OF DUTIES: REFERRAL SOURCE FOR AGENT 7) NASTALI FINANCIAL SERVICES, LTD., INVESTMENT-RELATED, ADDRESS SAME AS REGISTERED LOCATION, INVESTMENT AND TAX SERVICES AND LIMITED POWER OF ATTORNEY FOR IRS AND OTHER TAX MATTERS, START 2/9/2012, 20 HRS/WK, PROVIDE INVESTMENT AND TAX SERVICES 8) SPRING ALIGN, NOT INV REL, AUTOMOTIVE REPAIR SHOP, MANAGER/EMPLOYEE, MGMT OF BUSINESS, SINCE 03/2007, 1H/WEEK: 9) NAME OF OTHER BUSINESS: KEY FINANCIAL SOURCES, INC DBA CLEARPATH FINANCIAL MORTGAGE; INVESTMENT RELATED: NO; ADDRESS: 10 EXECUTIVE CT, STE 2, SOUTH BARRINGTON, IL 60010; NATURE OF BUSINESS: MORTGAGES; START DATE: 9/2023; POSITION/TITLE/RELATIONSHIP: LOAN ORIGINATOR; APX NUMBER OF HOURS PER WEEK: LESS THAN 1; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1; BRIEF DESCRIPTION OF DUTIES: OFFERING MORTGAGE SERVICES; 10) NAME OF OTHER BUSINESS: CLEARPATH FINANCIAL INSURANCE LLC; INVESTMENT RELATED: NO; ADDRESS: 10 EXECUTIVE CT, STE 2, SOUTH BARRINGTON, IL 60010; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 9/2023; POSITION/TITLE/RELATIONSHIP: LICENSED AGENT; APX NUMBER OF HOURS PER WEEK: LESS THAN 1; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1; BRIEF DESCRIPTION OF DUTIES: OFFER INSURANCE REFERRALS;
CRS (Client Relationship Summary) - RIA
Click below to view Alan S Nastali JR'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®
CFP®
Start date: 2004
Experience
Current
June 28, 2005 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: One Tower Lane, Oakbrook Terrace, IL 60181RIA
CRD#: 105644
OAKBROOK TERRACE, IL
Current
June 25, 1998 - Present
CETERA FINANCIAL SPECIALISTS LLC
Office #1: One Tower Lane Ste 1825, Oak Brook Terrace, IL 60181BD
CRD#: 10358
Oak Brook Terrace, IL
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(3/12/2004)
RR
Colorado(6/3/2022)
RR
District of Columbia(3/14/2024)
RR
Florida(6/15/2015)
RR
Illinois(7/16/1998)
IAR
Illinois(6/28/2005)
RR
Indiana(6/15/2015)
RR
Iowa(12/5/2012)
RR
Kansas(10/15/2007)
RR
Michigan(5/19/2021)
RR
Missouri(6/15/2015)
RR
New Jersey(5/30/2025)
RR
North Carolina(4/11/2006)
RR
South Carolina(3/2/2016)
RR
Tennessee(6/14/2022)
RR
Texas(12/17/2014)
IAR
Texas(2/27/2023)
RR
Washington(7/11/2012)
RR
West Virginia(1/2/2024)
RR
Wisconsin(6/15/2015)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 62
Date: 6/6/2000
Corporate Securities Limited Representative ExaminationGeneral 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
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
