Kevin W. Geist

CETERA INVESTMENT ADVISERS LLC

WHEATON, IL 60187

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CRD#: 3277382

Professional summary

Kevin William Geist, who also goes by Kevin William Geist, Kevin Geist, Kevin W Geist, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Wheaton, Illinois and CETERA FINANCIAL SPECIALISTS LLC located in Wheaton, Illinois.

Kevin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Kevin has worked at 9 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Kevin William Geist | Kevin Geist | Kevin W Geist

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) SCHUMANN FINANCIAL, INVESTMENT RELATED, ADDRESS SAME AS REGISTERED BRANCH, FINANCIAL PROFESSIONAL, DBA FOR INVESTMENTS, 40H/WEEK, SINCE 06/2024.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin William Geist'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 12, 2024 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 214 W Willow Ave, Wheaton, IL 60187

RIA

CRD#: 105644

WHEATON, IL

Current

June 12, 2024 - Present

CETERA FINANCIAL SPECIALISTS LLC

Office #1: 214 W Willow Ave, Wheaton, IL 60187

CRD#: 10358

WHEATON, IL

Past

August 2, 2022 - May 25, 2024

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

Prospect Heights, IL

Past

July 13, 2022 - May 25, 2024

J.P. MORGAN SECURITIES LLC

CRD#: 79

Prospect Heights, IL

Past

July 18, 2012 - February 22, 2022

EQUITABLE DISTRIBUTORS, LLC

CRD#: 25900

JERSEY CITY, NJ

Past

November 2, 2010 - July 13, 2012

ASSETMARK, INC.

RIA

CRD#: 109018

CONCORD, CA

Past

September 7, 2010 - July 13, 2012

CAPITAL BROKERAGE CORPORATION

CRD#: 10465

CHICAGO, IL

Past

May 12, 2008 - May 12, 2009

EQUITABLE DISTRIBUTORS, LLC

CRD#: 25900

CHARLOTTE, NC

Past

February 15, 2007 - May 13, 2008

SUN LIFE FINANCIAL DISTRIBUTORS, INC.

CRD#: 5496

WELLESLEY HILLS, MA

Past

October 3, 2006 - January 30, 2007

INVESCO CAPITAL MARKETS, INC.

CRD#: 6939

OAKBROOK TERRACE, IL

Past

January 2, 2000 - October 3, 2006

DWS DISTRIBUTORS, INC.

CRD#: 37306

CHICAGO, IL

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

Arizona
(6/12/2024)

Delaware
(6/12/2024)

District of Columbia
(6/12/2024)

Florida
(6/12/2024)

Illinois
(6/12/2024)

IAR

Illinois
(6/12/2024)

Indiana
(6/12/2024)

Maryland
(6/12/2024)

Massachusetts
(6/12/2024)

Missouri
(6/12/2024)

Oregon
(6/12/2024)

Texas
(6/12/2024)

IAR

Texas
(6/12/2024)

Wisconsin
(6/12/2024)

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 66

Date: 8/2/2022

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 11/1/2010

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/1/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/8/2000

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/23/1999

Investment Company Products/Variable Contracts Representative 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

Kevin W. Geist

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin William Geist's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA FINANCIAL SPECIALISTS LLC

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

EQUITABLE DISTRIBUTORS, LLC

ASSETMARK, INC.

CAPITAL BROKERAGE CORPORATION

EQUITABLE DISTRIBUTORS, LLC

SUN LIFE FINANCIAL DISTRIBUTORS, INC.

INVESCO CAPITAL MARKETS, INC.

DWS DISTRIBUTORS, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/2/2022

Series 65

Date: 11/1/2010

Series 63

Date: 12/1/1999

SIE

Date: 10/1/2018

Series 7

Date: 12/8/2000

Series 6

Date: 12/23/1999

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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