CD
Chad E. Dixon
CETERA INVESTMENT ADVISERS LLC
ST. JOHNS, FL 32259
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CRD#: 4024301
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Professional summary
Chad E Dixon, who also goes by Chad Everett Dixon, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in St. Johns, Florida and CETERA INVESTMENT SERVICES LLC located in St. Johns, Florida.
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 8 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Chad Everett Dixon
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) EXIT REALTY. Investment-related. Address: St. Augustine, FL 32092. Nature: Real Estate. Position: Associate/part-time. Start Date: 08/01/2018. Hours devoted per month: 0-1. Duties: Purchases and sales for personal/family use. (2) Valuteachers. Investment-related. Address: Ponte Vedra, FL. Nature: Life Insurance sales. Position: Conservation Specialist. Start Date: 08/001/2021. Hours Devoted per month: 80. Duties: Conservation of existing clients. Goals-based conservation regarding existing 403b annuities. (3) ASSET ALLOCATION STRATEGIES, LLC; INVESTMENT RELATED; LOCATED IN PONTE VEDRA FL, SUPERVISED FROM FARMINGTON MI; NATURE: INVESTMENT ADVISOR; POSITION: IAR; START DATE: 08/2021; APX 40HRS/MO., 35 HRS DURING TRADING HOURS; DUTIES: SOLICIT, SERVICE, ACTIVELY MANAGE ADVISORY ACCOUNTS/CLIENTS.
CRS (Client Relationship Summary) - RIA
Click below to view Chad E Dixon'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
September 20, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 522 State Rd 13, St. Johns, FL 32259RIA
CRD#: 105644
ST. JOHNS, FL
Current
September 18, 2024 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 522 State Rd 13, St. Johns, FL 32259BD
CRD#: 15340
ST. JOHNS, FL
Past
August 16, 2021 - September 11, 2024
ASSET ALLOCATION STRATEGIES, LLC
RIA
CRD#: 152339
PONTE VEDRA, FL
Past
August 5, 2021 - September 11, 2024
GLP INVESTMENT SERVICES, LLC
BD
CRD#: 25450
PONTE VEDRA, FL
Past
July 26, 2013 - August 4, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
JACKSONVILLE, FL
Past
July 26, 2013 - August 4, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
JACKSONVILLE, FL
Past
December 21, 2012 - July 10, 2013
STRATEGIC ADVISERS LLC
RIA
CRD#: 104555
JACKSONVILLE, FL
Past
July 28, 2011 - July 9, 2013
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
JACKSONVILLE, FL
Past
December 23, 1999 - May 5, 2003
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
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
Alabama(9/19/2024)
RR
Florida(9/19/2024)
IAR
Florida(9/20/2024)
RR
Georgia(9/19/2024)
RR
South Carolina(9/26/2024)
RR
Tennessee(11/18/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck 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)
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.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644St. Johns, FL 32259TRUST BUT VERIFY
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