Allison A. Nathe

CETERA INVESTMENT ADVISERS LLC

WENATCHEE, WA 98801

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CRD#: 3245622

Professional summary

Allison Anne Nathe, who also goes by Allison A Mathe, Allison Nathe, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Wenatchee, Washington and CETERA WEALTH SERVICES, LLC located in Wenatchee, Washington.

Allison is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Allison has worked at 11 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 9 and Series 10 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Allison A Mathe | Allison Nathe

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) CNC FINANCIAL GROUP, LLC POSITION: Wealth Management Assistant NATURE: Provide support to Financial Advisors including paperwork generation, client service and reporting. INVESTMENT RELATED: No NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 100 START DATE: 03/01/2018 ADDRESS: 175 E Penny Road, Wenatchee WA 98801, United States DESCRIPTION: Provide support to Financial Advisors including paperwork generation, client service and reporting. 2) CORDELL, NEHER & COMPANY, PLLC POSITION: Wealth Management Assistant NATURE: I assist Financial Professionals with servicing our client's. INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 03/01/2018 ADDRESS: 175 E. Penny Road, Suite 1, Wenatchee WA 98801, United States DESCRIPTION: My duties include account opening, account maintenance, client service and entering trades.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Allison Anne Nathe'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

September 5, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 175 E. Penny Road Suite 1, Wenatchee, WA 98801

RIA

CRD#: 105644

WENATCHEE, WA

Current

September 5, 2025 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 175 E. Penny Road Suite 1, Wenatchee, WA 98801

CRD#: 13572

WENATCHEE, WA

Past

October 25, 2019 - September 5, 2025

AVANTAX ADVISORY SERVICES

RIA

CRD#: 104556

WENATCHEE, WA

Past

October 25, 2019 - September 5, 2025

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

WENATCHEE, WA

Past

June 4, 2018 - October 25, 2019

1ST GLOBAL CAPITAL CORP.

CRD#: 30349

WENATCHEE, WA

Past

March 7, 2018 - October 25, 2019

1ST GLOBAL ADVISORS INC

RIA

CRD#: 111133

WENATCHEE, WA

Past

March 31, 2015 - April 2, 2018

GLOBAL FINANCIAL PRIVATE CAPITAL, INC.

RIA

CRD#: 132070

WENATCHEE, WA

Past

July 31, 2013 - October 16, 2013

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

BELLEVUE, WA

Past

July 31, 2013 - October 16, 2013

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

BELLEVUE, WA

Past

February 10, 2010 - December 3, 2012

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

SEATTLE, WA

Past

February 10, 2010 - December 3, 2012

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

SEATTLE, WA

Past

June 15, 2006 - February 17, 2010

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

SEATTLE, WA

Past

June 15, 2006 - February 17, 2010

UBS FINANCIAL SERVICES INC.

CRD#: 8174

SEATTLE, WA

Past

June 12, 2000 - June 6, 2006

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

SEATTLE, WA

Past

July 23, 1999 - June 6, 2006

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

SEATTLE, WA

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

Washington
(9/5/2025)

IAR

Washington
(9/5/2025)

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

Series 63

Date: 6/1/2018

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 5/24/2000

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/31/2018

General Securities Representative Examination

Principal/Supervisory Exam

Series 9

Date: 5/21/2010

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 4/27/2010

General Securities Sales Supervisor - General Module 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

Allison A. Nathe

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Allison Anne Nathe's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

AVANTAX ADVISORY SERVICES

AVANTAX INVESTMENT SERVICES, INC.

1ST GLOBAL CAPITAL CORP.

1ST GLOBAL ADVISORS INC

GLOBAL FINANCIAL PRIVATE CAPITAL, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 6/1/2018

Series 65

Date: 5/24/2000

SIE

Date: 10/1/2018

Series 7

Date: 5/31/2018

Series 9

Date: 5/21/2010

Series 10

Date: 4/27/2010

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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