TW
Tray A. Wiltse
CWM
Overland Park, KS 66211
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CRD#: 4099049
TW
Professional summary
Tray A Wiltse, who also goes by Tray Wiltse, is a registered financial advisor currently at CWM, LLC located in Overland Park, Kansas and CETERA INVESTMENT ADVISERS LLC located in Overland Park, Kansas.
Tray is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Tray has worked at 8 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tray Wiltse
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)INDEPENDENT REP WITH VARIOUS INSURANCE CARRIERS FOR FIXED ONLY. 2) NAME OF OTHER BUSINESS: IWAS HOLDINGS, INC.; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: DBA FOR EXPENSE MANAGEMENT; START DATE: 05/2023; POSITION/TITLE/RELATIONSHIP: CO-OWNER; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 2; BRIEF DESCRIPTION OF DUTIES: DBA FOR EXPENSES, OVERSEE ACCOUNTING FOR BUSINESS EXPENSES;
CRS (Client Relationship Summary) - RIA
Click below to view Tray A Wiltse'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
April 3, 2023 - Present
CWM, LLC
Office #1: 4400 W. 109th Street, Ste. 250, Overland Park, KS 66211RIA
CRD#: 155344
Overland Park, KS
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 4400 W 109th St Ste 250, Overland Park, KS 66211RIA
CRD#: 105644
OVERLAND PARK, KS
Current
April 3, 2023 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 4400 W 109th St Ste 250, Overland Park, KS 66211BD
CRD#: 13572
Overland Park, KS
Past
June 7, 2023 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
Overland Park, KS
Past
September 15, 2017 - January 12, 2018
GENEOS WEALTH MANAGEMENT, INC.
RIA
CRD#: 120894
OVERLAND PARK, KS
Past
January 13, 2010 - April 5, 2023
GENEOS WEALTH MANAGEMENT, INC.
BD
CRD#: 120894
OVERLAND PARK, KS
Past
November 22, 2005 - May 31, 2023
INTEGRATED WEALTH ADVISORY SERVICES, INC.
RIA
CRD#: 115821
OVERLAND PARK, KS
Past
August 23, 2005 - January 15, 2010
OSAIC WEALTH, INC.
RIA
CRD#: 23131
OVERLAND PARK, KS
Past
June 21, 2005 - January 15, 2010
OSAIC WEALTH, INC.
BD
CRD#: 23131
OVERLAND PARK, KS
Past
April 17, 2000 - January 1, 2002
ROBERT W. BAIRD & CO. INCORPORATED
BD
CRD#: 8158
MILWAUKEE, WI
Past
January 26, 2000 - June 13, 2005
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
MILWAUKEE, WI
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
Arizona(4/3/2023)
RR
California(4/3/2023)
RR
Colorado(4/3/2023)
RR
Florida(4/3/2023)
RR
Georgia(4/3/2023)
RR
Hawaii(4/3/2023)
RR
Idaho(4/3/2023)
RR
Illinois(4/3/2023)
RR
Indiana(4/3/2023)
RR
Iowa(4/3/2023)
RR
Kansas(4/3/2023)
IAR
Kansas(4/3/2023)
RR
Louisiana(4/3/2023)
RR
Maryland(4/3/2023)
RR
Minnesota(4/3/2023)
RR
Missouri(4/3/2023)
RR
Nebraska(4/3/2023)
RR
Nevada(4/3/2023)
RR
New Jersey(4/3/2023)
RR
New Mexico(4/3/2023)
RR
New York(4/3/2023)
RR
Ohio(4/3/2023)
RR
Oklahoma(4/3/2023)
RR
Oregon(4/3/2023)
RR
Pennsylvania(4/3/2023)
RR
South Carolina(4/3/2023)
RR
South Dakota(4/3/2023)
RR
Texas(4/3/2023)
IAR
Texas(4/3/2023)
RR
Virginia(4/3/2023)
RR
Washington(4/3/2023)
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.
