Sherry A. Werner

CETERA INVESTMENT ADVISERS LLC

SPRINGFIELD, MO 65804

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CRD#: 4314455

Professional summary

Sherry Ann Werner, who also goes by Sherry Ann Rexroth, Sherry Ann Smithwick, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Springfield, Missouri and CETERA FINANCIAL SPECIALISTS LLC located in Springfield, Missouri.

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

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Sherry Ann Rexroth | Sherry Ann Smithwick

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) WORTHEY TRUCK SALES, NOT INVESTMENT RELATED, SPRINGFIELD, MO, BOARD OF DIRECTORS, SERVE AS BOARD OF DIRECT-BUSINESS IS CLOSING AUGUST 2023, DUTIES WILL CONCLUDE UPON CLOSURE, 0H/WEEK, SINCE 01/2012 2) HORSE COMPETITION AND HORSE SHOW JUDGE, NOT INVESTMENT RELATED, GALANA, MO, OWNER, COMPETE IN HORSE COMPETITION AND JUDGE HORSE SHOWS, OWNER, 4H/WEEK, SINCE 05/2004. 3) NOTARY, NOT INVESTMENT RELATED, ADDRESS SAME AS REGISTERED BRANCH, NOTARY SERVICES FOR EXISTING CLIENTS, .5H/WEEK, SINCE 10/2007. 4) SANFORD & ASSOCIATES, NOT INVESTMENT RELATED, ADDRESS SAME AS REGISTERED BRANCH, STAFF ACCOUNTANT, EMPLOYEE, PROVIDE ACCOUNTING AND TAX SERVICEWS TO EXISTING CLIENTS, 45H/WEEK, 40H/WEEK DURING TRADING HOURS, 5) SANFORD & ASSOCIATES, INVESTMENT RELATED, ADDRESS SAME AS REGISTERED BRANCH, DBA FOR INVESTMENTS, 40H/WEEK, SINCE 08/2023

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sherry Ann Werner'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

June 27, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 1655 S Enterprise Ave Ste B-4, Springfield, MO 65804

RIA

CRD#: 105644

SPRINGFIELD, MO

Current

August 7, 2023 - Present

CETERA FINANCIAL SPECIALISTS LLC

Office #1: 1655 S Enterprise Ave Ste B-4, Springfield, MO 65804

CRD#: 10358

Springfield, MO

Past

August 7, 2023 - June 20, 2025

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

SPRINGFIELD, MO

Past

September 21, 2020 - August 9, 2023

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

Springfield, MO

Past

July 27, 2020 - August 9, 2023

SECURITIES AMERICA, INC.

CRD#: 10205

SPRINGFIELD, MO

Past

January 1, 2004 - August 3, 2020

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

SPRINGFIELD, MO

Past

January 1, 2002 - January 1, 2004

LOCUST STREET SECURITIES, INC.

CRD#: 1703

DES MOINES, IA

Past

December 13, 2000 - January 1, 2002

BMA FINANCIAL SERVICES, INC.

CRD#: 7943

KANSAS CITY, MO

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

Missouri
(8/7/2023)

IAR

Missouri
(6/27/2025)

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 65

Date: 8/27/2014

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/12/2000

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: 12/12/2000

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

Sherry A. Werner

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sherry Ann Werner's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA FINANCIAL SPECIALISTS LLC

CETERA INVESTMENT ADVISERS LLC

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

VOYA FINANCIAL ADVISORS, INC.

LOCUST STREET SECURITIES, INC.

BMA FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/27/2014

Series 63

Date: 12/12/2000

SIE

Date: 10/1/2018

Series 7

Date: 12/12/2000

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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