Lynn Anne Gillen

CETERA INVESTMENT ADVISERS LLC

CHARLESTON, SC 29412

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CRD#: 4371383

Professional summary

Lynn Anne Gillen, CFP®, CIMA®, who also goes by Lynn Anne Christensen, Lynn Anne Christensen, Lynne Anne Christensen, Lynn Anne Gillen, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Charleston, South Carolina and CETERA WEALTH SERVICES, LLC located in Charleston, South Carolina.

Lynn Anne is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Lynn Anne has worked at 6 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Lynn Anne Christensen | Lynn Anne Christensen | Lynne Anne Christensen | Lynn Anne Gillen

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) GILLEN WEALTH MANAGEMENT, LLC; SINCE 03/01/2012; 125E WAPPOO CREEK DRIVE, STE 201B, CHARLESTON, SC, 29412; FINANCIAL PLANNER; Summit Brokerage rep doing business as Gillen Wealth Management, LLC for marketing purposes; 160 HOURS SPENT ON ACTIVITY PER MONTH, 160 HOURS SPENT DURING TRADING HOURS

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lynn Anne Gillen'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®

CFP^®

Certified Financial Planner

Start date: 2010

CIMA^®

Certified Investment Management Analyst

Experience

Current

June 29, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 125-e Wappoo Creek Dr Ste 201b, Charleston, SC 29412Office #2: 962 Harbortowne Road, Charleston, SC 29412

RIA

CRD#: 105644

CHARLESTON, SC

Current

September 20, 2019 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 125-e Wappoo Creek Dr Ste 201b, Charleston, SC 29412

CRD#: 13572

Charleston, SC

Past

May 20, 2021 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

EL SEGUNDO, CA

Past

March 26, 2012 - May 20, 2021

SUMMIT FINANCIAL GROUP INC

RIA

CRD#: 109485

CHARLESTON, SC

Past

March 26, 2012 - September 20, 2019

SUMMIT BROKERAGE SERVICES, INC.

CRD#: 34643

CHARLESTON, SC

Past

August 19, 2005 - April 3, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

CHARLESTON, SC

Past

August 18, 2005 - April 3, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

CHARLESTON, SC

Past

May 2, 2001 - August 29, 2005

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

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

Florida
(9/23/2019)

Georgia
(9/20/2019)

Indiana
(4/9/2025)

Michigan
(9/20/2019)

New Mexico
(5/3/2024)

South Carolina
(9/20/2019)

IAR

South Carolina
(6/29/2023)

Virginia
(9/20/2019)

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: 5/30/2001

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 6/11/2001

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 5/1/2001

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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Firm Stability Insights

Lynn Anne Gillen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lynn Anne Gillen's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

SUMMIT FINANCIAL GROUP INC

SUMMIT BROKERAGE SERVICES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/30/2001

SIE

Date: 10/1/2018

Series 31

Date: 6/11/2001

Series 7

Date: 5/1/2001

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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