LN
Louis J. Naeger
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CRD#: 3133252
LN
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Louis Joseph Naeger, who also goes by Louis Joseph Haeger, was a registered financial professional .
Louis is a previously registered financial professional and started their career in finance in 1998. Louis had worked at 2 firms and has passed the Series 65, Series 63, SIE, Series 62 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Louis Joseph Haeger
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 (PASSIVE); 2) SMALL FARMING OPERATION-OWNER/PRES SINCE 8/05-CORP PRES-5HR/WK; 3)POWER OF ATTORNEY FOR BROTHER, NOT INVEST REL, SAME AS REGISTERED ADDRESS, POA, .5HR/WK, MANAGE PERSONAL FINANCES FOR BROTHER. 4) NAME OF OTHER BUSINESS: LOUIS J NAEGER & ASSOCIATES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: GENERAL MANAGEMENT AND BUSINESS PLANNING FOR FAMILY OWNED BUSINESSES START DATE: 2/2017 APX NUMBER OF HOURS PER WEEK: 5 APX NUMBER OF HOURS DURING TRADING HOURS: 5 POSITION/TITLE/RELATIONSHIP: ADVISOR BRIEF DESCRIPTION OF DUTIES: ASSIST FAMILY WITH ORGANIZATION & MANAGEMENT 5)NAME OF OTHER BUSINESS: STE GENEVIEVE CATHOLIC CHURCH; INVESTMENT RELATED: NO; ADDRESS: 49 DUBOURG PLACE, STE GENEVIEVE, MO 63670; NATURE OF BUSINESS: RELIGIOUS / CHURCH; START DATE: 01/2019; POSITION/TITLE/RELATIONSHIP: FINANCE COMMITTEE MEMBER; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 2; BRIEF DESCRIPTION OF DUTIES: SERVE AS ADVISOR TO THE PARISH PASTOR AS TO BUDGETING AND OTHER FINANCIAL ISSUES 6) NAME OF OTHER BUSINESS: CHESTNUT RIDGE FARMS LLC ; INVESTMENT RELATED: NO ; ADDRESS: 14221 HIGHWAY 32, ST GENEVIEVE, MO 63670 ; NATURE OF BUSINESS: FARM ; START DATE: 07/2013 ; HOURS: 10HR/WK SEASONAL ; DUTIES: 50% OWNER AND FARMING OPERATIONS ; 7) NAME OF OTHER BUSINESS: DOLCE RIDGE DOG PARK, LLC INVESTMENT RELATED: NO; ADDRESS: SAME AS RESIDENTIAL LOCATION; NATURE OF BUSINESS: DOG PARK; START DATE: 04/2024; POSITION/TITLE/RELATIONSHIP: MEMBER; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 2; BRIEF DESCRIPTION OF DUTIES: KEEP OF THE GROUNDS MOWED AND CLEAN;
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
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
Past
May 14, 2004 - December 31, 2024
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
STE. GENEVIEVE, MO
Past
October 22, 1998 - December 31, 2024
CETERA FINANCIAL SPECIALISTS LLC
BD
CRD#: 10358
STE. GENEVIEVE, MO
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.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 62
Date: 11/8/2000
Corporate Securities Limited Representative ExaminationGeneral Industry/Product Exam
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.
