Elroy M. Goodyear

CETERA INVESTMENT ADVISERS LLC

WILLIAMSVILLE, NY 14221

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CRD#: 4451151

Professional summary

Elroy Mark Goodyear, CFP®, who also goes by Elroy M Goodyear, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Williamsville, New York and CETERA ADVISORS LLC located in Williamsville, New York.

Elroy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Elroy has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 9, Series 10 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Elroy M Goodyear

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. NAME OF OTHER BUSINESS: GOODYEAR FINANCIAL SERVICES, INC , INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: EXPENSE MANAGEMENT, START DATE: 04/2014, POSITION/TITLE/RELATIONSHIP: OWNER, APX NUMBER OF HOURS PER WEEK: 1, NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: PAYING BILLS; 2. NAME OF OTHER BUSINESS: LMG RENTAL PROPERTIES, LLC, INVESTMENT RELATED: NO, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: REAL ESTATE, START DATE: 01/2019, POSITION/TITLE/RELATIONSHIP: OWNER, APX NUMBER OF HOURS PER WEEK: 1, NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: COLLECT RENT;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Elroy Mark Goodyear'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: 2006

Experience

Current

March 21, 2024 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 8060 Wehrle Dr, Williamsville, NY 14221

RIA

CRD#: 105644

WILLIAMSVILLE, NY

Current

July 11, 2022 - Present

CETERA ADVISORS LLC

Office #1: 8060 Wehrle Dr, Williamsville, NY 14221

CRD#: 10299

Williamsville, NY

Past

July 11, 2022 - March 21, 2024

CETERA ADVISORS LLC

RIA

CRD#: 10299

Williamsville, NY

Past

May 29, 2009 - August 10, 2022

SAXONY CAPITAL MANAGEMENT, LLC

RIA

CRD#: 122692

WILLIAMSVILLE, NY

Past

May 29, 2009 - August 10, 2022

SAXONY SECURITIES, INC.

CRD#: 115547

WILLIAMSVILLE, NY

Past

February 3, 2004 - June 9, 2009

AMERICAN PORTFOLIOS ADVISORS, INC

RIA

CRD#: 112697

HOLBROOK, NY

Past

January 9, 2004 - June 2, 2009

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

CRD#: 18487

WILLIAMSVILLE, NY

Past

May 20, 2002 - January 26, 2004

HSBC BROKERAGE (USA) INC.

CRD#: 6956

NEW YORK, NY

Past

September 19, 2001 - May 20, 2002

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

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
(7/11/2022)

Massachusetts
(7/11/2022)

New York
(7/11/2022)

IAR

New York
(3/21/2024)

Pennsylvania
(7/11/2022)

South Carolina
(7/11/2022)

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: 2/11/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/25/2001

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: 1/21/2003

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/18/2001

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 9

Date: 6/3/2003

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 4/29/2003

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 26

Date: 7/22/2002

Investment Company Products/Variable Contracts Principal 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

Elroy M. Goodyear

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Elroy Mark Goodyear's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA ADVISORS LLC

CETERA ADVISORS LLC

SAXONY CAPITAL MANAGEMENT, LLC

SAXONY SECURITIES, INC.

AMERICAN PORTFOLIOS ADVISORS, INC

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

HSBC BROKERAGE (USA) INC.

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 2/11/2002

Series 63

Date: 9/25/2001

SIE

Date: 10/1/2018

Series 7

Date: 1/21/2003

Series 6

Date: 9/18/2001

Series 9

Date: 6/3/2003

Series 10

Date: 4/29/2003

Series 26

Date: 7/22/2002

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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