GZ
Gregory H. Zwick
CETERA INVESTMENT ADVISERS LLC
WEST ALLIS, WI 53227
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CRD#: 4405396
GZ
Professional summary
Gregory Henry Zwick, who also goes by Gregory H Zwick, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in West Allis, Wisconsin and CETERA WEALTH SERVICES, LLC located in West Allis, Wisconsin.
Gregory is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Gregory has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Gregory H Zwick
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. FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED, SAME AS REGISTERED ADDRESS, FIXED INSURANCE, START 2002, 32HRS/WK (TRADING HOURS), INSURANCE AGENT - SELLS LIFE, HEALTH, DISABILITY, ANNUITIES, AND LONG-TERM CARE; 2. CENTRAL FINANCIAL SERVICES, INVESTMENT RELATED, SAME AS REGISTERED ADDRESS, DBA NAME FOR FINANCIAL SERVICES, START 02/15/2015, 40HRS/WK (32.5 TRADING HOURS), AGENT, REGISTERED REPRESENTATIVE, INVESTMENT ADVISOR REPRESENTATIVE; 3.NAME OF OTHER BUSINESS: SIMPLIFY YOUR RETIREMENT INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: EDUCATION START DATE: 04/2018 POSITION/TITLE/RELATIONSHIP: INSTRUCTOR APX NUMBER OF HOURS PER WEEK: 6 MAY BE DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: TEACHING A BABY BOOMER RETIREMENT COURSE 4. NAME OF OTHER BUSINESS: ST. LEONARD CONGREGATION ENDOWMENT FUND; INVESTMENT RELATED: NO; ADDRESS: W17357743 WESTWOOD DR MUSKEGO, WI 53150; NATURE OF BUSINESS: CHURCH ENDOWMENT FUND; START DATE: 2002; POSITION/TITLE/RELATIONSHIP: MEMBER ; APX NUMBER OF HOURS PER WEEK: LESS THAN 1 ; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1; BRIEF DESCRIPTION OF DUTIES: SERVE ON ADVISORY BOARD, FUNDRAISING, GRANTING FUNDS FOR FAITH BASED INITIATIVES;
CRS (Client Relationship Summary) - RIA
Click below to view Gregory Henry Zwick'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
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 10150 W National Ave Ste 325, West Allis, WI 53227RIA
CRD#: 105644
WEST ALLIS, WI
Current
October 1, 2002 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 10150 W National Ave Ste 325, West Allis, WI 53227BD
CRD#: 13572
West Allis, WI
Past
October 1, 2002 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
WAUWATOSA, WI
Past
July 30, 2001 - September 19, 2002
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, 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".
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(1/5/2022)
RR
Florida(1/4/2022)
RR
Illinois(1/5/2022)
RR
Michigan(1/5/2022)
RR
Minnesota(1/5/2022)
RR
South Carolina(1/5/2022)
RR
Washington(5/24/2022)
RR
Wisconsin(10/1/2002)
IAR
Wisconsin(6/29/2023)
Exams
State Security Law 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
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Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644West Allis, WI 53227TRUST BUT VERIFY
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