Kelly S. Cavanaugh

CETERA INVESTMENT ADVISERS LLC

INDIANAPOLIS, IN 46256

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CRD#: 4257695

Professional summary

Kelly Sue Cavanaugh, who also goes by Kelly S. Cavanaugh, Kelly S Cavanaugh, Kelly Sue Tiemann, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Indianapolis, Indiana and CETERA INVESTMENT SERVICES LLC located in Indianapolis, Indiana.

Kelly is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Kelly has worked at 13 firms and has passed the Series 66, Series 63, Series 6TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Kelly S. Cavanaugh | Kelly S Cavanaugh | Kelly Sue Tiemann

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.

ASSET TRANSFER SERVICES, LLC POSITION: owner NATURE: helping to handle Estate properties INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 11/02/2020 ADDRESS: 705 S Jackso Blvd, Chesterton IN 46304, United States DESCRIPTION: At this time I am not engaging in this activity while working at Prudential. POWER OF ATTORNEY FOR SISTER - LORI K TIEMANN POSITION: power of attorny NATURE: power of attorney INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 08/01/2020 ADDRESS: 325 Brown Crt, Chesterton IN 46304, United States DESCRIPTION: power of attorney for sister NOTARY PUBLIC POSITION: Notary Public NATURE: Notary Public INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 03/01/2000 ADDRESS: 705 S Jackson Blvd, Chesterton IN 46304, United States DESCRIPTION: Notary Public

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kelly Sue Cavanaugh'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 5, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 10194 Crosspoint Boulevard Suite # 100, Indianapolis, IN 46256

RIA

CRD#: 105644

INDIANAPOLIS, IN

Current

March 5, 2025 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 10194 Crosspoint Boulevard Suite # 100, Indianapolis, IN 46256

CRD#: 15340

Indianapolis, IN

Past

December 14, 2022 - May 2, 2023

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA

CRD#: 288590

SOUTH BEND, IN

Past

December 2, 2022 - May 2, 2023

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SOUTH BEND, IN

Past

December 10, 2020 - July 8, 2022

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

Valparaiso, IN

Past

December 10, 2020 - July 8, 2022

PRUCO SECURITIES, LLC.

CRD#: 5685

Valparaiso, IN

Past

May 31, 2019 - November 12, 2020

FIFTH THIRD SECURITIES, INC.

RIA

CRD#: 628

HIGHLAND, IN

Past

May 30, 2019 - November 12, 2020

FIFTH THIRD SECURITIES, INC.

CRD#: 628

HIGHLAND, IN

Past

January 17, 2018 - June 7, 2019

LPL FINANCIAL LLC

RIA

CRD#: 6413

CROWN POINT, IN

Past

February 3, 2017 - June 7, 2019

LPL FINANCIAL LLC

CRD#: 6413

CROWN POINT, IN

Past

February 29, 2016 - February 7, 2017

OSAIC INSTITUTIONS, INC.

CRD#: 35371

ST. JOHN, IN

Past

July 7, 2014 - March 4, 2016

W&S BROKERAGE SERVICES, INC.

CRD#: 8099

VALPARAISO, IN

Past

April 29, 2013 - April 22, 2014

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

HIGHLAND, IN

Past

July 5, 2011 - January 16, 2013

LPL FINANCIAL LLC

CRD#: 6413

CHESTERTON, IN

Past

November 5, 2007 - July 5, 2011

UVEST FINANCIAL SERVICES GROUP, INC.

CRD#: 13787

CHESTERTON, IN

Past

October 18, 2006 - November 9, 2007

FIFTH THIRD SECURITIES, INC.

CRD#: 628

PORTAGE, IN

Past

July 6, 2005 - October 2, 2006

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

PORTAGE, IN

Past

August 22, 2002 - July 6, 2005

BANC ONE SECURITIES CORPORATION

CRD#: 16999

CHICAGO, 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

Indiana
(3/5/2025)

IAR

Indiana
(3/5/2025)

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 66

Date: 12/29/2017

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 2/11/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6TO

Date: 1/2/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/21/2002

General Securities Representative 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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Advisor Monitoring

Firm Stability Insights

Kelly S. Cavanaugh

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kelly Sue Cavanaugh's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

FIDELITY PERSONAL AND WORKPLACE ADVISORS

FIDELITY BROKERAGE SERVICES LLC

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

FIFTH THIRD SECURITIES, INC.

FIFTH THIRD SECURITIES, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

OSAIC INSTITUTIONS, INC.

W&S BROKERAGE SERVICES, INC.

ALLSTATE FINANCIAL SERVICES, LLC

LPL FINANCIAL LLC

UVEST FINANCIAL SERVICES GROUP, INC.

FIFTH THIRD SECURITIES, INC.

CHASE INVESTMENT SERVICES CORP.

BANC ONE SECURITIES CORPORATION

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/29/2017

Series 63

Date: 2/11/2003

Series 6TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 8/21/2002

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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