AP
Anthony S. Paper
CETERA INVESTMENT ADVISERS LLC
FARGO, ND 58103
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CRD#: 4353039
AP
Professional summary
Anthony Samuel Paper, who also goes by Anthony S Paper, Tony Paper, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Fargo, North Dakota and CETERA WEALTH SERVICES, LLC located in Fargo, North Dakota.
Anthony is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Anthony has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Anthony S Paper | Tony Paper
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.
(dba) A.P. INVESTMENTS; Investment Related; 1128 Westrac Drive, Fargo, ND 58103; Insurance and Financial Services; Owner/President/Producer; Start Date 03/2006; 40 hours per month; Sales and service of insurance products including Fixed Annuity, Fixed Life and Group Insurance products. I also provide investment advice, service and solutions for clients. >> (dba) E.S.A.P. FINANCIAL SOLUTIONS; Investment Related; 1128 Westrac Drive, Fargo, ND 58103; Financial Services; Sales Representative; Start Date 01/2008; 50 hours per month; Conduct joint sales with E Schmitz under this "Doing Business As" name. >> FARGO PARK DISTRICT; Non-Investment Related; 701 Main Avenue, Fargo, ND 58103; Sports; Basketball Referee; Start Date 01/2003; 8 hours per month with no hours during trading hours; Basketball official for Junior Varsity and Varsity games. >> FARGO PUBLIC SCHOOLS; Non-Investment Related; 415 N 4th Street, Fargo, ND 58102; Sports; Football and Basketball Referee; Start Date 09/2010; Hours are seasonal - approximately 20 hours per month; Sports official.
CRS (Client Relationship Summary) - RIA
Click below to view Anthony Samuel Paper'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
February 20, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 1128 Westrac Drive, Fargo, ND 58103RIA
CRD#: 105644
FARGO, ND
Current
February 20, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 1128 Westrac Drive, Fargo, ND 58103BD
CRD#: 13572
Fargo, ND
Past
September 26, 2011 - February 20, 2025
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
RIA
CRD#: 15708
Fargo, ND
Past
September 15, 2011 - February 20, 2025
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
Fargo, ND
Past
July 24, 2006 - September 15, 2011
NATIONAL PLANNING CORPORATION
RIA
CRD#: 29604
FARGO, ND
Past
March 10, 2006 - September 15, 2011
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
FARGO, ND
Past
February 27, 2001 - March 13, 2006
PFS INVESTMENTS INC.
BD
CRD#: 10111
DULUTH, GA
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(2/20/2025)
RR
Kansas(2/20/2025)
RR
Minnesota(2/20/2025)
RR
North Dakota(2/20/2025)
IAR
North Dakota(2/20/2025)
RR
South Dakota(2/20/2025)
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.
