Ronald L. Whittingham

CETERA INVESTMENT ADVISERS LLC

Chicago, IL 60612

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CRD#: 4175525

Professional summary

Ronald Leonard Whittingham, who also goes by Ron Leonard Whittingham, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Chicago, Illinois and CETERA ADVISORS LLC located in Orland Park, Illinois.

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

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Ron Leonard Whittingham

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. MEGENT FINANCIAL, INVESTMENT RELATED, SAME AS REGISTERED LOCATION, FINANCIAL SERVICES, STARTED 04/2016, MANAGING DIRECTOR APX NUMBER OF HOURS PER WEEK: 40, 32.5 DURING TRADING HOURS BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES. 2.FORTY ACRES WOODS RETREAT, NOT INVESTMENT RELATED, 94680 M152, DOWAGIAC, MI 49047, REAL ESTATE, STARTED 1/2023, POSITION/TITLE/RELATIONSHIP: OWNER, APX 1 HOURS PER WEEK, NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: RENTAL PROPERTY

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ronald Leonard Whittingham'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®

None

Experience

Current

March 21, 2024 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 1928 West Fulton #3, Chicago, IL 60612Office #2: 1200 Harger Road Suite 325, Oak Brook, IL 60523Office #3: 15321 S 94th Ave Ste 100, Orland Park, IL 60462

RIA

CRD#: 105644

Chicago, IL

Current

February 28, 2019 - Present

CETERA ADVISORS LLC

Office #1: 15321 S 94th Ave Ste 100, Orland Park, IL 60462Office #2: 1928 West Fulton #3, Chicago, IL 60612Office #3: 1200 Harger Road Suite 325, Oak Brook, IL 60523

CRD#: 10299

Orland Park, IL

Past

February 28, 2019 - March 21, 2024

CETERA ADVISORS LLC

RIA

CRD#: 10299

DENVER, CO

Past

April 29, 2016 - March 4, 2019

OPUS WEALTH MANAGEMENT GROUP

RIA

CRD#: 176525

Orland Park, IL

Past

April 28, 2016 - March 7, 2019

LPL FINANCIAL LLC

CRD#: 6413

ORLAND PARK, IL

Past

September 18, 2012 - May 2, 2016

FSC SECURITIES CORPORATION

RIA

CRD#: 7461

ORLAND PARK, IL

Past

September 14, 2012 - May 2, 2016

FSC SECURITIES CORPORATION

CRD#: 7461

ORLAND PARK, IL

Past

October 15, 2008 - December 31, 2012

ADVICE NETWORK CONSULTANTS, LLC

RIA

CRD#: 147989

TINLEY PARK, IL

Past

August 12, 2008 - October 5, 2012

LPL FINANCIAL LLC

RIA

CRD#: 6413

TINLEY PARK, IL

Past

December 12, 2001 - October 5, 2012

LPL FINANCIAL LLC

CRD#: 6413

TINLEY PARK, IL

Past

May 31, 2000 - November 30, 2001

LASALLE ST SECURITIES, L.L.C.

CRD#: 7191

ELMHURST, IL

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

Arizona
(2/28/2019)

Arkansas
(2/28/2019)

Colorado
(2/28/2019)

Florida
(2/28/2019)

Georgia
(2/28/2019)

Illinois
(2/28/2019)

IAR

Illinois
(3/21/2024)

Indiana
(2/28/2019)

Michigan
(2/28/2019)

Minnesota
(2/28/2019)

Missouri
(2/28/2019)

Nevada
(2/28/2019)

New Mexico
(2/28/2019)

Pennsylvania
(5/7/2021)

South Carolina
(2/28/2019)

South Dakota
(6/10/2019)

Tennessee
(1/30/2020)

Texas
(2/28/2019)

IAR

Texas
(3/21/2024)

Wisconsin
(2/28/2019)

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: 8/11/2008

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/26/2000

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: 5/30/2000

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/24/2007

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.

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Firm Stability Insights

Ronald L. Whittingham

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ronald Leonard Whittingham's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA ADVISORS LLC

CETERA ADVISORS LLC

OPUS WEALTH MANAGEMENT GROUP

LPL FINANCIAL LLC

FSC SECURITIES CORPORATION

FSC SECURITIES CORPORATION

ADVICE NETWORK CONSULTANTS, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

LASALLE ST SECURITIES, L.L.C.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/11/2008

Series 63

Date: 6/26/2000

SIE

Date: 10/1/2018

Series 7

Date: 5/30/2000

Series 24

Date: 7/24/2007

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

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