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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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AN

Allison A. Nathe

CETERA INVESTMENT ADVISERS
WENATCHEE, WA 98801
Some features on this profile are disabled
CRD#: 3245622
AN

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.
The advisor shows no other business activity.

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
BD
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.

BD
CRD#: 13686
WENATCHEE, WA
Past

June 4, 2018 - October 25, 2019

1ST GLOBAL CAPITAL CORP.

BD
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

BD
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.

BD
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.

BD
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

BD
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".
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
Washington
(9/5/2025)
IAR
Washington
(9/5/2025)

Exams

State Security Law Exam
RR
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
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/31/2018
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 9
Date: 5/21/2010
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 10
Date: 4/27/2010
General Securities Sales Supervisor - General Module 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)
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)

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#: 105644Wenatchee, WA 98801

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