Jeffrey S. Panik

CETERA INVESTMENT ADVISERS LLC

ATLANTA, GA

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CRD#: 3202241

Professional summary

Jeffrey Scott Panik, CFP®, who also goes by Jeff Panik, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Atlanta, Georgia and CETERA ADVISORS LLC located in Alpharetta, Georgia.

Jeffrey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Jeffrey has worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jeff Panik

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. NAME OF OTHER BUSINESS: FIXED INSURANCE INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 01/2000 APX NUMBER OF HOURS PER WEEK: 5 APX NUMBER OF HOURS DURING TRADING HOURS: 4 POSITION/TITLE/RELATIONSHIP: AGENT BRIEF DESCRIPTION OF DUTIES: INSURANCE SALES AND SERVICE 2. NAME OF OTHER BUSINESS: FINANCIAL LITERACY FIRST, LLC INVESTMENT RELATED: NO ADDRESS: SAME AS RESIDENTIAL LOCATION NATURE OF BUSINESS: PUBLISHING AND MARKETING BOOKS START DATE: 02/2024 APX NUMBER OF HOURS PER WEEK: 6 APX NUMBER OF HOURS DURING TRADING HOURS: 5 POSITION/TITLE/RELATIONSHIP: AUTHOR/PRESIDENT BRIEF DESCRIPTION OF DUTIES: FINANCIAL LITERACY BOOK SALES AND MARKETING 3. NAME OF OTHER BUSINESS: BALANCE WEALTH PARTNERS INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 01/2017 APX NUMBER OF HOURS PER WEEK: 50 APX NUMBER OF HOURS DURING TRADING HOURS: 30 POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL BRIEF DESCRIPTION OF DUTIES: PROVIDING FINANCIAL SERVICES TO CLIENTS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jeffrey Scott Panik'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®

CFP^®

Certified Financial Planner

Start date: 2004

Experience

Current

November 15, 2024 - Present

CETERA INVESTMENT ADVISERS LLC

Office #2: 125 Townpark Drive Suite 300, Kennesaw, GA 30144

RIA

CRD#: 105644

ATLANTA, GA

Current

November 13, 2024 - Present

CETERA ADVISORS LLC

Office #1: 4555 Mansell Road Suite 300, Alpharetta, GA 30022Office #2: 125 Townpark Drive Suite 300, Kennesaw, GA 30144

CRD#: 10299

Alpharetta, GA

Past

August 31, 2023 - November 14, 2024

RFG ADVISORY, LLC

RIA

CRD#: 158401

Kennesaw, GA

Past

August 31, 2023 - November 13, 2024

PRIVATE CLIENT SERVICES, LLC

CRD#: 120222

Kennesaw, GA

Past

December 11, 2019 - September 7, 2023

INDEPENDENT ADVISOR ALLIANCE, LLC

RIA

CRD#: 8174

WEEHAWKEN, NJ

Past

October 26, 1999 - April 26, 2002

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, 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

Florida
(11/13/2024)

Georgia
(11/13/2024)

IAR

Georgia
(11/15/2024)

North Carolina
(11/14/2024)

South Carolina
(11/13/2024)

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: 11/2/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/28/1999

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: 3/31/2003

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 10/25/1999

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/2/2009

General Securities Principal 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

Jeffrey S. Panik

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jeffrey Scott Panik's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA ADVISORS LLC

RFG ADVISORY, LLC

PRIVATE CLIENT SERVICES, LLC

INDEPENDENT ADVISOR ALLIANCE, LLC

IFG ADVISORY, LLC

LPL FINANCIAL LLC

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

INVEST FINANCIAL CORPORATION

INVEST FINANCIAL CORPORATION

INVESTMENT PROFESSIONALS, INC.

INVESTMENT PROFESSIONALS, INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

CITIGROUP GLOBAL MARKETS INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/2/1999

Series 63

Date: 10/28/1999

SIE

Date: 10/1/2018

Series 31

Date: 3/31/2003

Series 7

Date: 10/25/1999

Series 24

Date: 5/2/2009

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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