JA
Jeffrey A. Augenstein
CETERA INVESTMENT ADVISERS LLC
FLAGSTAFF, AZ
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CRD#: 4302561
JA
Professional summary
Jeffrey Alan Augenstein is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Flagstaff, Arizona and CETERA WEALTH SERVICES, LLC located in Flagstaff, Arizona.
Jeffrey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Jeffrey has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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) Northern Arizona Financial Services Co LLC 2519 E Seventh Ave, PO Box 30917 Flagstaff AZ 86003~Tax Preparation/Accounting Owner/Sole Proprietor 5/1/2003 100hrs~100hrs Prepare tax return represent clients in IRS problem cases . 2) Arizona Society of Enrolled Agents Main Street Phoenix AZ 85007 Other Vice President 6/1/2012 5hrs~2hrs Arizona Society of Enrolled Agents is a subset of the National Association of Enrolled Agents. Their sole agenda is to promote enrolled agents throughout the state. 3) THE PEAK WEALTH MANAGEMENT LLC POSITION: Owner NATURE: This entity was set up by me to administer a Section 125 medical plan. It really will not take any time of my day. It will not be implemented in any advertising nor sell any securities etc. We may someday use it as a company name, but for now there is no plan to have this anywhere for the public to see INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 01/01/2022 ADDRESS: 3024 N Jamison, Flagstaff AZ 86004, United States DESCRIPTION: This company was set up so that I can administer my Section 125 medical plan through it simply and easily. My duties will be to track the money to pay for the medical plan through this company. 4) Williams High School Alumi Association; President; Board Position/Officer; NIR; 0; 06/01/2015; 3024 N Jamison Flagstaff AZ 86004; I am the president of an alumni association for Williams High from Williams Arizona. This is not a time consuming activity nor are there any investment decisions to be made 5) NAME OF OTHER BUSINESS: FLAGSTAFF COMMUNITY BAND; INVESTMENT RELATED: NO; ADDRESS: PO BOX 2423, FLAGSTAFF, AZ 86004; NATURE OF BUSINESS: BOARD; START DATE: 10/2025; POSITION/TITLE/RELATIONSHIP: TREASURER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: KEEP THE ORGANIZATIONS BOOK, SIGN CHECKS WHEN NEEDED, AND KEEP THE ORGANIZATIONS BUDGET;
CRS (Client Relationship Summary) - RIA
Click below to view Jeffrey Alan Augenstein'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
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
FLAGSTAFF, AZ
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 2519 E. Seventh Ave, Flagstaff, AZ 86004BD
CRD#: 13572
FLAGSTAFF, AZ
Past
August 14, 2013 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
FLAGSTAFF, AZ
Past
May 30, 2003 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
FLAGSTAFF, AZ
Past
September 29, 2001 - June 5, 2003
AMERIPRISE ADVISOR SERVICES, INC.
BD
CRD#: 5979
DETROIT, MI
Past
February 6, 2001 - October 2, 2001
BIRCHTREE FINANCIAL SERVICES LLC
BD
CRD#: 15014
MINNEAPOLIS, MN
Past
November 21, 2000 - February 12, 2001
AMERIPRISE ADVISOR SERVICES, INC.
BD
CRD#: 5979
DETROIT, 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".
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(9/5/2025)
IAR
Arizona(9/5/2025)
RR
Arkansas(9/5/2025)
RR
California(9/5/2025)
RR
Colorado(9/5/2025)
RR
Florida(9/5/2025)
RR
Georgia(9/5/2025)
RR
Hawaii(9/5/2025)
RR
Indiana(9/5/2025)
RR
Louisiana(9/5/2025)
RR
Missouri(9/5/2025)
RR
Montana(9/5/2025)
RR
Nevada(9/5/2025)
RR
New Mexico(9/5/2025)
RR
Oregon(9/5/2025)
RR
South Carolina(10/8/2025)
RR
Tennessee(9/5/2025)
RR
Texas(9/5/2025)
IAR
Texas(9/5/2025)
RR
Utah(9/5/2025)
RR
Virginia(9/5/2025)
RR
Washington(9/5/2025)
RR
Wyoming(9/5/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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.
