AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
LB

Lindsey C. Banks

CETERA INVESTMENT ADVISERS LLC
DALLAS, TX 75019
Some features on this profile are disabled
CRD#: 4398801
LB

Professional summary

Lindsey Caroline Banks, who also goes by Lindsey Caroline Banks, Lindsey Caroline Dvorak, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Dallas, Texas and CETERA INVESTMENT SERVICES LLC located in Dallas, Texas.

Lindsey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Lindsey has worked at 11 firms and has passed the Series 66, Series 99TO, SIE, Series 7, Series 6, Series 10 and Series 9 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Lindsey Caroline Banks | Lindsey Caroline Dvorak

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.
NOTARY PUBLIC POSITION: NOTARY NATURE: NOTARY PUBLIC INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 2 START DATE: 01/01/2005 ADDRESS: Allen TX 75013, United States DESCRIPTION: Notary Public - less than 10 hours a month during trading.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lindsey Caroline Banks'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

September 5, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 3200 Olympus Blvd Suite 100, Dallas, TX 75019
RIA
CRD#: 105644
DALLAS, TX
Current

August 23, 2024 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 3200 Olympus Blvd Ste 100, Dallas, TX 75019
BD
CRD#: 15340
DALLAS, TX
Current

August 23, 2024 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 3200 Olympus Blvd Ste 100, Dallas, TX 75019Office #2: 3200 Olympus Blvd Suite 100, Dallas, TX 75019
BD
CRD#: 13572
DALLAS, TX
Current

August 23, 2024 - Present

CETERA FINANCIAL SPECIALISTS LLC

Office #1: 3200 Olympus Blvd Ste 100, Dallas, TX 75019
BD
CRD#: 10358
DALLAS, TX
Current

August 23, 2024 - Present

CETERA ADVISORS LLC

Office #1: 3200 Olympus Blvd Ste 100, Dallas, TX 75019
BD
CRD#: 10299
DALLAS, TX
Past

October 25, 2019 - September 5, 2025

AVANTAX ADVISORY SERVICES

RIA
CRD#: 104556
DALLAS, TX
Past

October 25, 2019 - September 5, 2025

AVANTAX INVESTMENT SERVICES, INC.

BD
CRD#: 13686
DALLAS, TX
Past

November 18, 2015 - October 25, 2019

1ST GLOBAL ADVISORS INC

RIA
CRD#: 111133
DALLAS, TX
Past

November 18, 2015 - October 25, 2019

1ST GLOBAL CAPITAL CORP.

BD
CRD#: 30349
DALLAS, TX
Past

June 16, 2008 - November 16, 2015

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
SHERMAN, TX
Past

April 23, 2008 - November 16, 2015

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
SHERMAN, TX
Past

October 12, 2001 - December 10, 2001

VOYA FINANCIAL PARTNERS, LLC

BD
CRD#: 34815
WINDSOR, CT

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
Texas
(9/5/2025)
IAR
Texas
(9/5/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 6/14/2008
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/22/2008
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 10/11/2001
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 9/22/2009
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 7/13/2009
General Securities Sales Supervisor - Options Module Examination
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
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Regulatory assets under management

Total Number of Accounts584,487
AUM (Assets Under Management)$ 163,792,814,520

Accountant surprise examination report

Filing DateForm ADV-E CoverForm 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.

Company Information

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644Dallas, TX 75019

TRUST BUT VERIFY

Monitor Lindsey Banks

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

David Antonio Alvarez
David AlvarezAdvisorCheck Check Mark
EDWARD JONES
IAR
RR
Grapevine, TX
Sean Ryan Leonard
Sean LeonardAdvisorCheck Check Mark
LPL FINANCIAL LLC
IAR
RR
Hurst, TX
Kerry John Prazak
Kerry PrazakAdvisorCheck Check Mark
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC
IAR
SOUTHLAKE, TX
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2025 AdvisorCheck, an AIMR Analytics company. All rights reserved.