MN
Mary E. Nussbaum
CETERA INVESTMENT ADVISERS LLC
WARRENSBURG, MO 64093
Some features on this profile are disabled
CRD#: 4093367
MN
Professional summary
Mary Elizabeth Nussbaum, CFP®, who also goes by Mary E. Bernt, Mary E Nussbaum, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Warrensburg, Missouri and CETERA FINANCIAL SPECIALISTS LLC located in Warrensburg, Missouri.
Mary is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Mary has worked at 6 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mary E. Bernt | Mary E Nussbaum
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)NUSSBAUM FARM - NON INVESTMENT-RELATED - LIVESTOCK PRODUCTION - CO-OWNER - SD: 1987 - LABOR & RECORD KEEPING OF FARM OPERATIONS - 1 - 5 HWW. DEVOTED TO OTHER BUSINESS; 0 HRS DEVOTED TO OTHER BUSINESS DURING SECURITIES TRADING HOURS 2)NUSSBAUM TAX & FINANCIAL - NON INVESTMENT-RELATED - TAX PREPARATION AND ACCOUNTING - OWNER - SD: 1975 - TAX PREPARATION AND MANAGEMENT - 20 HWW/MTH DEVOTED TO OTHER BUSINESS; 0 HRS DEVOTED TO OTHER BUSINESS DURING SECURITIES TRADING HOURS. 2) NAME OF OTHER BUSINESS: JOHNSON COUNTY MASTER GARDENERS; INVESTMENT RELATED: NO; ADDRESS: SAME AS RESIDENTIAL LOCATION; NATURE OF BUSINESS: NON PROFIT; START DATE: 10/2023; POSITION/TITLE/RELATIONSHIP: TREASURER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: PAY BILLS AND BALANCE CHECKBOOK, PROVIDE MONTHLY REPORTS, DUAL SIGNATURES CONFIRMED FOR ALL CHECKS 3) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 11/2023; APX NUMBER OF HOURS PER WEEK: Less than 1; APX NUMBER OF HOURS DURING TRADING HOURS: less than 1; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, FIXED ANNUITIES, & LONG-TERM CARE; 4) NAME OF OTHER BUSINESS: N/A; INVESTMENT RELATED: NO; ADDRESS: SAME AS RESIDENTIAL LOCATION; NATURE OF BUSINESS: RENTAL PROPERTY; START DATE: 10/2023; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: RESIDENTIAL RENTAL PROPERTY - BOOKKEEPING, BILL PAYING & SOME LABOR;
CRS (Client Relationship Summary) - RIA
Click below to view Mary Elizabeth Nussbaum'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®
CFP®
Start date: 1999
Experience
Current
May 9, 2007 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 233 Se State Route 13, Warrensburg, MO 64093RIA
CRD#: 105644
WARRENSBURG, MO
Current
May 9, 2007 - Present
CETERA FINANCIAL SPECIALISTS LLC
Office #1: 233 Se State Route 13, Warrensburg, MO 64093BD
CRD#: 10358
Warrensburg, MO
Past
September 29, 2006 - April 26, 2007
PFIC ADVISORS, INC.
RIA
CRD#: 138007
FRANKLIN, TN
Past
September 21, 2005 - April 26, 2007
PFIC SECURITIES CORPORATION
BD
CRD#: 34941
WARRENSBURG, MO
Past
June 10, 2003 - September 21, 2005
FISERV INVESTOR SERVICES, INC.
BD
CRD#: 34637
HOUSTON, TX
Past
December 17, 1999 - June 10, 2003
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
EL SEGUNDO, CA
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
Arkansas(1/2/2024)
RR
Idaho(1/2/2025)
RR
Indiana(5/9/2007)
RR
Kansas(1/14/2020)
RR
Missouri(5/9/2007)
IAR
Missouri(5/9/2007)
RR
South Carolina(1/2/2021)
Exams
State Security Law Exam
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
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.
