Adrienne E. Rowles

CETERA INVESTMENT ADVISERS

WARRENTON, VA

Some features on this profile are disabled

CRD#: 3073899

Professional summary

Adrienne Elizabeth Rowles is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Warrenton, Virginia and CETERA WEALTH SERVICES, LLC located in Warrenton, Virginia.

Adrienne is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Adrienne has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Adrienne Elizabeth Rowles'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

January 18, 2024 - Present

CETERA INVESTMENT ADVISERS LLC

Office #2: 600 Washington Avenue, Suite 307, Towson, MD 21204

RIA

CRD#: 105644

WARRENTON, VA

Current

January 16, 2024 - Present

CETERA WEALTH SERVICES, LLC

Office #2: 9710 Monroe St, Cockeysville, MD 21030

CRD#: 13572

WARRENTON, VA

Past

January 8, 2020 - January 17, 2024

THRIVENT INVESTMENT MANAGEMENT INC.

RIA

CRD#: 18387

Warrenton, VA

Past

January 2, 2020 - January 17, 2024

THRIVENT INVESTMENT MANAGEMENT INC.

CRD#: 18387

Warrenton, VA

Past

April 24, 2017 - January 2, 2020

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

Plymouth, MA

Past

April 21, 2017 - January 2, 2020

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

Plymouth, MA

Past

June 12, 2009 - April 24, 2017

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

BRAINTREE, MA

Past

May 4, 2005 - October 10, 2009

RAYMOND JAMES FINANCIAL SERVICES, INC.

RIA

CRD#: 6694

BRAINTREE, MA

Past

January 5, 2005 - April 24, 2017

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

BRAINTREE, MA

Past

February 1, 2001 - January 4, 2005

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

PALM BEACH, FL

Past

February 1, 2001 - January 4, 2005

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

September 25, 1998 - February 1, 2001

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

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

Delaware
(1/8/2026)

Florida
(1/22/2024)

Maryland
(1/22/2024)

IAR

Maryland
(11/21/2024)

Massachusetts
(1/17/2024)

New Mexico
(1/19/2024)

South Carolina
(11/26/2024)

Tennessee
(1/18/2024)

Virginia
(1/18/2024)

IAR

Virginia
(1/18/2024)

West Virginia
(1/23/2026)

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: 2/2/2017

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/3/1998

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: 9/3/1998

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 8/12/1998

General Securities 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)

PREMIUM

Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.

Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.

Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

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)

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

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.

Similar Advisors

Guy Peel

OSAIC WEALTH, INC.

IAR

Helena, MT

Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

IAR

Estero, FL

Jeffrey Meotti

MORGAN STANLEY

IAR

MADISON, CT

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Adrienne E. Rowles

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Adrienne Elizabeth Rowles's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT ADVISERS LLC

CETERA WEALTH SERVICES, LLC

THRIVENT INVESTMENT MANAGEMENT INC.

THRIVENT INVESTMENT MANAGEMENT INC.

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 2/2/2017

Series 63

Date: 9/3/1998

SIE

Date: 10/1/2018

Series 31

Date: 9/3/1998

Series 7

Date: 8/12/1998

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

Similar Advisors