Sarah J. Emery

CETERA INVESTMENT ADVISERS LLC

PINCKNEY, MI

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CRD#: 4108795

Professional summary

Sarah Jo Emery, CFP®, ChFC®, who also goes by Sarah Jo Duncan, Sarah Jo Wilson, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Pinckney, Michigan and CETERA ADVISORS LLC located in Pinckney, Michigan.

Sarah is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Sarah has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

What are your service offerings?

Insurance Planning

Estate Planning

Tax Planning

Retirement Planning

Investment Planning

Comprehensive Financial Planni...

What is your minimum asset requirement?

Are you a "fiduciary"?

Yes

Aliases

Sarah Jo Duncan | Sarah Jo Wilson

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: EMERY FINANCIAL INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 12/2019 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 POSITION/TITLE/RELATIONSHIP: OWNER BRIEF DESCRIPTION OF DUTIES: PROVIDING FINANCIAL SERVICES TO CLIENTS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sarah Jo Emery'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®

CFP^®

Certified Financial Planner

Start date: 2016

ChFC^®

Chartered Financial Consultant

Experience

Current

December 9, 2024 - Present

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

PINCKNEY, MI

Current

December 9, 2024 - Present

CETERA ADVISORS LLC

CRD#: 10299

Pinckney, MI

Past

December 2, 2019 - December 11, 2024

LPL FINANCIAL LLC

RIA

CRD#: 6413

PINCKNEY, MI

Past

December 2, 2019 - December 11, 2024

LPL FINANCIAL LLC

CRD#: 6413

PINCKNEY, MI

Past

January 21, 2014 - December 2, 2019

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

FENTON, MI

Past

April 16, 2013 - January 21, 2014

CETERA INVESTMENT SERVICES LLC

RIA

CRD#: 15340

FENTON, MI

Past

April 15, 2013 - December 2, 2019

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

FENTON, MI

Past

February 2, 2011 - April 11, 2013

HANTZ FINANCIAL SERVICES, INC.

RIA

CRD#: 46047

ANN ARBOR, MI

Past

January 18, 2000 - April 11, 2013

HANTZ FINANCIAL SERVICES, INC.

CRD#: 46047

ANN ARBOR, MI

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

Florida
(12/9/2024)

Georgia
(12/9/2024)

Illinois
(12/9/2024)

Kansas
(1/3/2025)

Michigan
(12/9/2024)

IAR

Michigan
(12/9/2024)

New York
(12/9/2024)

South Carolina
(12/9/2024)

Tennessee
(12/9/2024)

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 65

Date: 4/28/2010

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/14/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/20/2002

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 1/17/2000

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/26/2003

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Firm Stability Insights

Sarah J. Emery

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sarah Jo Emery's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA ADVISORS LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

CETERA INVESTMENT ADVISERS LLC

CETERA INVESTMENT SERVICES LLC

CETERA INVESTMENT SERVICES LLC

HANTZ FINANCIAL SERVICES, INC.

HANTZ FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/28/2010

Series 63

Date: 2/14/2000

SIE

Date: 10/1/2018

Series 7

Date: 11/20/2002

Series 6

Date: 1/17/2000

Series 24

Date: 2/26/2003

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

Contact information

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