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The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

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JS

Jake N. Spruiell

CETERA INVESTMENT ADVISERS
SAN ANTONIO, TX
Some features on this profile are disabled
CRD#: 3145657
JS

Professional summary

Jake Norman Spruiell is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in San Antonio, Texas and CETERA WEALTH SERVICES, LLC located in San Antonio, Texas.

Jake is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Jake has worked at 9 firms and has passed the Series 63, SIE 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 Jake Norman Spruiell'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 6, 2024 - Present

CETERA INVESTMENT ADVISERS LLC

Office #2: 6999 Mcpherson Rd Suite 326-6, Laredo, TX 78041
RIA
CRD#: 105644
SAN ANTONIO, TX
Current

June 5, 2024 - Present

CETERA WEALTH SERVICES, LLC

Office #2: 6999 Mcpherson Rd Suite 326-6, Laredo, TX 78041
BD
CRD#: 13572
SAN ANTONIO, TX
Past

January 13, 2022 - November 22, 2023

PNC MANAGED ACCOUNT SOLUTIONS, INC.

RIA
CRD#: 110476
Laredo, TX
Past

September 15, 2021 - December 31, 2021

PNC MANAGED ACCOUNT SOLUTIONS, INC.

RIA
CRD#: 110476
Laredo, TX
Past

August 19, 2021 - June 7, 2024

PNC WEALTH MANAGEMENT LLC

RIA
CRD#: 129052
LAREDO, TX
Past

August 16, 2021 - June 7, 2024

PNC WEALTH MANAGEMENT LLC

BD
CRD#: 129052
LAREDO, TX
Past

May 16, 2013 - August 16, 2021

BBVA SECURITIES INC.

BD
CRD#: 27060
LAREDO, TX
Past

October 15, 2010 - August 17, 2021

PNC MANAGED ACCOUNT SOLUTIONS, INC.

RIA
CRD#: 110476
LAREDO, TX
Past

September 17, 2010 - October 15, 2010

ST JOHNS WEALTH MANAGEMENT

RIA
CRD#: 105564
LAREDO, TX
Past

July 26, 2010 - May 16, 2013

BBVA COMPASS INVESTMENT SOLUTIONS, INC

BD
CRD#: 17086
LAREDO, TX
Past

October 15, 2003 - May 11, 2010

WELLS FARGO INVESTMENTS, LLC

RIA
CRD#: 10582
LAREDO, TX
Past

October 15, 2003 - May 11, 2010

WELLS FARGO INVESTMENTS, LLC

BD
CRD#: 10582
LAREDO, TX
Past

October 9, 2002 - October 14, 2003

A. G. EDWARDS & SONS, INC.

RIA
CRD#: 4
LAREDO, TX
Past

February 12, 1999 - October 14, 2003

A. G. EDWARDS & SONS, INC.

BD
CRD#: 4
ST. LOUIS, 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.

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
Texas
(6/6/2024)
IAR
Texas
(6/6/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 12/4/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/30/1998
General Securities Representative Examination
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)
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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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Regulatory assets under management

Total Number of Accounts584,487
AUM (Assets Under Management)$ 163,792,814,520

Accountant surprise examination report

Filing DateForm ADV-E CoverForm 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.

Company Information

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644San Antonio, TX

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