Raelene M. Aldridge

CETERA INVESTMENT ADVISERS LLC

BOCA RATON, FL 33432

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CRD#: 4023517

Professional summary

Raelene Marie Aldridge is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Boca Raton, Florida and CETERA WEALTH SERVICES, LLC located in Boca Raton, Florida.

Raelene is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Raelene has worked at 11 firms and has passed the Series 66, Series 52TO, Series 99TO, SIE, Series 3, Series 7, Series 10, Series 9, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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: DOTERRA ESSENTIAL OILS INVESTMENT RELATED: NO ADDRESS: SAME AS RESIDENTIAL LOCATION NATURE OF BUSINESS: ESSENTIAL OILS START DATE: 03/2018 POSITION/TITLE/RELATIONSHIP: WELLNESS AVDOCATE APX NUMBER OF HOURS PER WEEK: 5 APX NUMBER OF HOURS DURING TRADING HOURS: VARIES BRIEF DESCRIPTION OF DUTIES: RECEIVES DISCOUNTS ON ESSENTIAL OILS FOR SALES; 2. NAME OF OTHER BUSINESS: N/A INVESTMENT RELATED: NO, ADDRESS: 6410 FERRIS DR, #13, HOUSTON, TX 77081, NATURE OF BUSINESS: REAL ESTATE, START DATE: 04/2024, POSITION/TITLE/RELATIONSHIP: OWNER, LESS THAN ONE HOUR PER WEEK, NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: OWNED RENTAL PROPERTY;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Raelene Marie Aldridge'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 27, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 225 Ne Mizner Blvd Ste 5550, Boca Raton, FL 33432

RIA

CRD#: 105644

BOCA RATON, FL

Current

May 13, 2016 - Present

CETERA WEALTH SERVICES, LLC

Office #2: 225 Ne Mizner Blvd Ste 550, Boca Raton, FL 33432

CRD#: 13572

BOCA RATON, FL

Current

June 14, 2021 - Present

CETERA FINANCIAL SPECIALISTS LLC

CRD#: 10358

BOCA RATON, FL

Current

June 14, 2021 - Present

CETERA ADVISORS LLC

CRD#: 10299

BOCA RATON, FL

Past

June 14, 2021 - September 8, 2022

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

SAN DIEGO, CA

Past

May 20, 2021 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

BOCA RATON, FL

Past

July 13, 2016 - November 9, 2016

VSR FINANCIAL SERVICES, INC.

CRD#: 14503

Boca Raton, FL

Past

October 29, 2010 - May 20, 2021

SUMMIT FINANCIAL GROUP INC

RIA

CRD#: 109485

BOCA RATON, FL

Past

August 19, 2010 - December 3, 2019

SUMMIT BROKERAGE SERVICES, INC.

CRD#: 34643

BOCA RATON, FL

Past

January 1, 2010 - July 12, 2010

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

HOUSTON, TX

Past

January 1, 2010 - July 12, 2010

UBS FINANCIAL SERVICES INC.

CRD#: 8174

HOUSTON, TX

Past

November 14, 2007 - January 1, 2010

UBS INTERNATIONAL INC.

RIA

CRD#: 107726

HOUSTON, TX

Past

November 14, 2007 - January 1, 2010

UBS INTERNATIONAL INC.

CRD#: 107726

HOUSTON, TX

Past

July 16, 2001 - November 15, 2007

STANFORD GROUP COMPANY

RIA

CRD#: 39285

HOUSTON, TX

Past

September 27, 2000 - November 15, 2007

STANFORD GROUP COMPANY

CRD#: 39285

HOUSTON, TX

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

California
(8/12/2019)

Florida
(8/12/2019)

IAR

Florida
(6/27/2023)

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: 7/13/2001

Uniform Combined State Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 11/10/2008

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 9/25/2000

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 12/18/2007

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 12/17/2007

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 53

Date: 12/5/2005

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 9/28/2004

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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Firm Stability Insights

Raelene M. Aldridge

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Raelene Marie Aldridge's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA FINANCIAL SPECIALISTS LLC

CETERA ADVISORS LLC

FIRST ALLIED SECURITIES, INC.

CETERA WEALTH SERVICES, LLC

VSR FINANCIAL SERVICES, INC.

SUMMIT FINANCIAL GROUP INC

SUMMIT BROKERAGE SERVICES, INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

UBS INTERNATIONAL INC.

UBS INTERNATIONAL INC.

STANFORD GROUP COMPANY

STANFORD GROUP COMPANY

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 7/13/2001

Series 52TO

Date: 1/2/2023

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 3

Date: 11/10/2008

Series 7

Date: 9/25/2000

Series 10

Date: 12/18/2007

Series 9

Date: 12/17/2007

Series 53

Date: 12/5/2005

Series 24

Date: 9/28/2004

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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