CW
Charles T. Winn
CETERA INVESTMENT ADVISERS LLC
SOUTH MILWAUKEE, WI 53172
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CRD#: 4205077
CW
Professional summary
Charles Thomas Winn, CFP®, who also goes by Chuck Thomas Winn, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in South Milwaukee, Wisconsin and CETERA WEALTH SERVICES, LLC located in South Milwaukee, Wisconsin.
Charles is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Charles has worked at 9 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Chuck Thomas Winn
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) LegUp Investments 1125 Milwaukee Ave~South Milwaukee~WI~53172~Other~Other~1/31/2020~4hrs~4hrs~project management| 2) DBHW WEALTH PARTNERS; POSITION: Partner NATURE: This is a branding name that represents some businesses within our organization currently disclosed on my U4. The businesses that fall under this brand are currently Hall Wehring CPAs and Wehring & DB Tax and Wealth. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 08/24/2022; ADDRESS: 1125 Milwaukee Avenue, South Milwaukee WI 53172, This is strictly a DBA we use for branding and marketing. There are no daily duties and responsibilities associated with this DBA. 3) DB WEHRING WEALTH LLC POSITION: Managing Member NATURE: Financial Planning and Investment Services INVESTMENT RELATED: No NUMBER OF HOURS: 130 SECURITIES TRADING HOURS: 110 START DATE: 01/01/2023 ADDRESS: 1125 Milwaukee Avenue, South Milwaukee WI 53172, United States DESCRIPTION: Practice Management, Financial Planning, investment advisory services, and insurance planning 4) SMRE LLC POSITION: Member NATURE: Rental property - real estate LLC created to limit liability to entity's scope. INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 06/05/2022 ADDRESS: W140 N7740 Lilly Rd, Menomonee Falls WI 53051, United States DESCRIPTION: handling rents, paying expenses, coordinating building maintenance services 5)LegUp Investments (1); Partner; Real Estate Holding Company; IR; 4; 01/31/2020; 1125 Milwaukee Ave South Milwaukee WI 53172; project management
CRS (Client Relationship Summary) - RIA
Click below to view Charles Thomas Winn'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: 2016
Experience
Current
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 1125 Milwaukee Avenue, South Milwaukee, WI 53172RIA
CRD#: 105644
SOUTH MILWAUKEE, WI
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 1125 Milwaukee Avenue, South Milwaukee, WI 53172BD
CRD#: 13572
South Milwaukee, WI
Past
February 20, 2018 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
South Milwaukee, WI
Past
February 16, 2018 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
South Milwaukee, WI
Past
March 25, 2017 - February 26, 2018
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
Milwaukee, WI
Past
March 25, 2017 - February 26, 2018
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
Milwaukee, WI
Past
May 29, 2013 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
Milwaukee, WI
Past
May 24, 2013 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
Milwaukee, WI
Past
September 16, 2009 - May 29, 2013
NEXT FINANCIAL GROUP, INC.
RIA
CRD#: 46214
MENOMONEE FALLS, WI
Past
March 3, 2009 - May 29, 2013
NEXT FINANCIAL GROUP, INC.
BD
CRD#: 46214
MENOMONEE FALLS, WI
Past
September 22, 2005 - March 2, 2009
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
BD
CRD#: 40178
FRANKLIN, TN
Past
May 6, 2004 - September 16, 2005
PACIFIC WEST SECURITIES, INC.
BD
CRD#: 6390
RENTON, WA
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
Alaska(9/5/2025)
RR
Arizona(9/5/2025)
RR
California(9/19/2025)
RR
Colorado(9/5/2025)
RR
Florida(9/5/2025)
RR
Illinois(9/5/2025)
RR
Kentucky(9/5/2025)
RR
Michigan(9/5/2025)
RR
Minnesota(9/5/2025)
RR
Texas(9/5/2025)
IAR
Texas(9/5/2025)
RR
Wisconsin(9/5/2025)
IAR
Wisconsin(9/5/2025)
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.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644South Milwaukee, WI 53172TRUST BUT VERIFY
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