CL
Chad M. Lund
CETERA INVESTMENT ADVISERS LLC
REDWOOD FALLS, MN 56283
Some features on this profile are disabled
CRD#: 3225567
CL
Professional summary
Chad Michael Lund, who also goes by Chad M Lund, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Redwood Falls, Minnesota and CETERA WEALTH SERVICES, LLC located in Redwood Falls, Minnesota.
Chad is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Chad has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Chad M Lund
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 ENTITY:CHAD AND AMY LUND OFFICE BUILDING; No; 229 S MILL ST; REDWOOD FALLS; MN; 56283; REAL ESTATE; OWNER; 6/1/1999; 1; 0; MAINTAIN BUILDING AND COLLECT RENT; 2. NAME OF ENTITY:CHAD LUND-RENTAL SPACE; No; 700 WASHINGTON AVE N; MINNEAPOLIS; MN; 55401; RENTAL PARKING SPACE; OWNER; 6/1/2016; 1; 1; RENTING PARKING SPACE AND COLLECTING RENT; 3. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 06/25/1999; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SALES OF FIXED INSURANCE PRODUCTS; 4. NAME OF OTHER BUSINESS: DAKOTA FUTURES, INC; INVESTMENT RELATED: NO; ADDRESS: 39527 RESERVATION HWY 1, MORTON, MN 56270; NATURE OF BUSINESS: COMMUNITY DEVELOPMENT; START DATE: 04/2022; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: ATTEND SCHEDULED BOARD MEETINGS, ADVISING ON ECONOMIC GROWTH AND DEVELOPMENT; 5. NAME OF OTHER BUSINESS: DAKOTA FINANCE CORPORATION, INC.; INVESTMENT RELATED: NO; ADDRESS: 39527 RESERVATION HIGHWAY 1 MORTON, MN 56270; NATURE OF BUSINESS: BOARD; START DATE:09/2022; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER/TREASURER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: RESPONSIBLE FOR CARE AND CUSTODY OF FUNDS AND SECURITIES TO BE DEPOSITED, MAY ENDORSE FOR PAYMENT AS DIRECTED BY THE BOARD ;
CRS (Client Relationship Summary) - RIA
Click below to view Chad Michael Lund'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®
NoneExperience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 229 S Mill St, Redwood Falls, MN 56283RIA
CRD#: 105644
REDWOOD FALLS, MN
Current
June 9, 2021 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 229 S Mill St, Redwood Falls, MN 56283BD
CRD#: 13572
Redwood Falls, MN
Past
June 9, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
January 30, 2014 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
REDWOOD FALLS, MN
Past
January 1, 2004 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
REDWOOD FALLS, MN
Past
January 15, 2003 - January 1, 2004
LOCUST STREET SECURITIES, INC.
BD
CRD#: 1703
DES MOINES, IA
Past
May 13, 1999 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
NEW YORK, NY
Past
May 13, 1999 - January 6, 2003
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
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".
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(6/9/2021)
RR
California(10/2/2025)
RR
Florida(6/10/2021)
RR
Michigan(5/11/2023)
RR
Minnesota(6/9/2021)
IAR
Minnesota(6/29/2023)
RR
North Dakota(8/26/2022)
RR
Virginia(6/9/2021)
RR
Washington(6/9/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General 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
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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.
