AW
Alan E. Wolters
CETERA INVESTMENT ADVISERS LLC
CELINA, OH 45822
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CRD#: 4073584
AW
Professional summary
Alan Elmer Wolters, AIF® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Celina, Ohio and CETERA WEALTH SERVICES, LLC located in Maria Stein, Ohio.
Alan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Alan has worked at 6 firms and has passed the Series 66, SIE and Series 7 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) TASC; OUTSIDE REFERRAL; SECTION 105 & 125 PLANS; IR; HRS 1; HRS 0; 01/01/2008; Celina OH; REFERRAL OF TAX CLIENTS TO SET UP SECTION 105 & 125 PLANS 2) WOLTERS FARMS; PARTNER; LAND RENTAL REAL ESTATE; IR; HRS 2; HRS 0; 01/01/1998; Maria Stein OH; Rents 25 acres to an area farmer 3) MOORMAN HARTING FINANCIAL SERVICES, LTD; FINANCIAL ADVISOR/PARTNER; FINANCIAL SERVICES FIRM; IR; HRS 30; HRS 30; 12/01/1999; 531 E Market Street, Celina OH 45822; Financial advisor and a licensed insurance agent duties 4) MOORMAN HARTING PARTNERSHIP; OWNER; LIFE INSURANCE HOLDING COMPLANY; NIR; HRS 0; HRS 0; 11/01/2008; 815 W Main Street, Coldwater OH 45828, United States; Partner 5) RENTAL CONDO; Owner; purchasing a condo rental in Naples, Florida; NIR; HRS 5; HRS 0; 09/01/2020; 531 E. Market, Celina OH 45822, United States; Owner and management responsibilities, paying the bills, etc. A property management group will be in charge of renting the condo. 6) MOORMAN HARTING & CO; CPA; Tax, Accounting, and Payroll Service CPA firm; NIR; HRS 90; HRS 90; 06/01/1999; 815 W Main Street, Coldwater OH 45828, United States; CPA duties includes preparing tax returns, preparing financial statements, and payroll tax returns. Also includes consulting with business owners. 7) 815 INVESTMENTS, LTD; OWNER; REAL ESTATE RENTAL; IR; HRS 0; HRS 0; 01/01/2002; 815 W Main Street, Coldwater OH; A LIMITED LIABILITY COMPANY THAT OWNS THE REAL ESTATE & BUILDING IN WHICH THE ACCOUNTING & FINANCIAL SERVICES FIRM RENTS 8) MARION TOWNSHIP COMBINED CHARITY; Treasurer; I am responsible for making the deposits from the annual fund drive, reconcile the checkbook, and write the checks to the various non-profit organizations. No investments are involved.; NIR; HRS 1; HRS 0; 01/01/1997; 8090 State Route 119, Maria Stein OH; I give a report to the President of the total amount collected, and the total amount paid to each various non-profit organizations. 9) BWB NORTH LLC; Member; Rental of a Commercial Building, portion of this will be a over a 3,000 sq ft office to Moorman, Harting & Co. and Moorman, Harting Financial Services, Ltd. and a different portion of the building will be approximately 80 x 40 rented space daily to the general public for like parties; IR; HRS 2; HRS 0; 11/01/20240 10) Member of the Mercer County Urban Zone and Advisory Board; volunteer Member; I would serve on an advisory board that meets one time a year. This advisory board only recommends to the county commissioners and the director of county economic development director on existing tax abatement continuation for the next year.; NIR; 0; 07/01/2021; Market Street Celina OH 45822; Only advises, review of the company's financial statements. Meets 1 time a year, to review existing tax abatements. Does not review any new applications.
CRS (Client Relationship Summary) - RIA
Click below to view Alan Elmer Wolters'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®
Experience
Current
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 531 East Market Street, Celina, OH 45822Office #2: 8089 Booster Drive, Maria Stein, OH 45860RIA
CRD#: 105644
CELINA, OH
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 8089 Booster Drive, Maria Stein, OH 45860Office #2: 531 East Market Street, Celina, OH 45822BD
CRD#: 13572
Maria Stein, OH
Past
October 25, 2019 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
CELINA, OH
Past
October 25, 2019 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
CELINA, OH
Past
February 10, 2000 - October 25, 2019
1ST GLOBAL ADVISORS INC
RIA
CRD#: 111133
CELINA, OH
Past
December 9, 1999 - October 25, 2019
1ST GLOBAL CAPITAL CORP.
BD
CRD#: 30349
CELINA, OH
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
Florida(9/5/2025)
RR
Illinois(9/5/2025)
RR
Indiana(9/5/2025)
RR
Kentucky(9/5/2025)
RR
Missouri(9/5/2025)
RR
North Carolina(9/17/2025)
RR
Ohio(9/5/2025)
IAR
Ohio(9/5/2025)
RR
Oklahoma(9/5/2025)
Exams
State Security Law 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
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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.
