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Ashley E Pedersen

AIF®
CETERA INVESTMENT ADVISERS
ROANOKE, TX
·CRD# 4459848·25 years experience

Professional Summary

Ashley E Pedersen, AIF®, who also goes by Ashley E Marino, Ashley Elizabeth Marino, Ashley Marino, Asley E Marino, Ashley Elizabeth Marino Pedersen, Ashley Pedersen, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Roanoke, Texas and CETERA WEALTH SERVICES, LLC located in Roanoke, Texas. Ashley is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Ashley has worked at 13...

At a Glance

Advisory Accounts Only

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Ashley E Marino, Ashley Elizabeth Marino, Ashley Marino, Asley E Marino, Ashley Elizabeth Marino Pedersen, Ashley Pedersen

Blog Corner

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Videos & Posts

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Credentials

AIF®
Accredited Investment Fiduciary

Years of Experience

25 years in the financial services industry

Current & Past Employments

CETERA INVESTMENT ADVISERS LLC·CRD# 105644
RIA
Roanoke, TX
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC·CRD# 13572
BD
Roanoke, TX
September 5, 2025 - Present
AVANTAX ADVISORY SERVICES·CRD# 104556
RIA
Roanoke, TX
March 23, 2023 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.·CRD# 13686
BD
Roanoke, TX
March 22, 2023 - September 5, 2025
INDEPENDENT FINANCIAL GROUP, LLC·CRD# 7717
RIA
Liberty Corner, NJ
October 25, 2021 - March 22, 2023
INDEPENDENT FINANCIAL GROUP, LLC·CRD# 7717
BD
Liberty Corner, NJ
October 4, 2021 - March 22, 2023
KINGSWOOD WEALTH ADVISORS, LLC·CRD# 288792
RIA
Roanoke, TX
August 21, 2018 - October 1, 2019
KINGSWOOD CAPITAL PARTNERS, LLC·CRD# 288898
BD
San Diego, CA
August 3, 2018 - October 1, 2019
LPL FINANCIAL LLC·CRD# 6413
BD
San Diego, CA
November 2, 2010 - August 22, 2016
LPL FINANCIAL LLC·CRD# 6413
RIA
San Diego, CA
October 18, 2010 - August 22, 2016
FIRST ALLIED SECURITIES, INC.·CRD# 32444
BD
San Diego, CA
February 5, 2008 - November 4, 2008
DUNHAM·CRD# 13162
RIA
San Diego, CA
February 22, 2007 - January 22, 2008
DUNHAM·CRD# 13162
BD
San Diego, CA
February 22, 2007 - January 22, 2008
VOYA INVESTMENTS DISTRIBUTOR, LLC·CRD# 37886
BD
Scottsdale, AZ
August 2, 2005 - February 16, 2007
MORGAN STANLEY DW INC.·CRD# 7556
RIA
Las Vegas, NV
March 21, 2005 - July 27, 2005
MORGAN STANLEY DW INC.·CRD# 7556
BD
Purchase, NY
March 21, 2005 - July 27, 2005
UBS FINANCIAL SERVICES INC.·CRD# 8174
RIA
Newport Beach, CA
March 1, 2002 - April 22, 2004
UBS FINANCIAL SERVICES INC.·CRD# 8174
BD
Weehawken, NJ
October 23, 2001 - April 22, 2004

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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 - SEC (1/13/1984 Approved)

Contact Information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Phone Number

(310) 257-7880

# of Employees

10,251

SEC notice filing (53 States and Territories)

Registered to provide investment advisory services in 53 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Regulatory Assets Under Management

Total Number of Accounts

813,961

AUM (Assets Under Management)

$256,813,748,739

Accountant Surprise Examination Report

Filing DateForm ADV-E CoverForm ADV-E Report
09/25/2026Cover PageReport
10/27/2025Cover PageReport
12/13/2024Cover PageReport
09/26/2023Cover PageReport

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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) WFP TAX PARTNERS LLC POSITION: Director of Client Development NATURE: Tax Consulting, Tax Preparation, retirement planning, cash flow planning INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 09/30/2021 ADDRESS: 1047 Glen Garden Dr, Roanoke TX 76262, United States DESCRIPTION: New Client ProspectingAdministrative dutiesConfirming appointmentsScheduling AppointmentsWarm Prospect Calls 2) COLOR STREET LLC DBA NAILED IT BY ASHLEY POSITION: Independent Contractor NATURE: Color Street is a manufacturer of beauty products including nail polish, nailcare and lip products. Products are distributed through independent contractors that earn commissions on sales. INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2020 ADDRESS: 1047 glen garden dr, roanoke TX 76262, United States DESCRIPTION: advertise on business Facebook pagecreate an interactive and fun environment online for potential customersshare pictures of products with customershost online sales parties through my Facebook pagerecruit new sales reps 3) PRIVATE CLIENT GROUP WFP LLC. DBA WEALTH FINANCIAL PARTNERS POSITION: Director of client development NATURE: this entity offers financial planning, retirement planning, risk analysis, tax planning and legacy planning INVESTMENT RELATED: Yes NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 80 START DATE: 09/30/2021 ADDRESS: 1047 Glen Garden Dr, Roanoke TX 76262, United States DESCRIPTION: Assist in financial planning, help maintain existing client relationships, proactively prospect for new clients, administrative task such as appointment confirms, practice management activities to streamline what we offer clients. 4) REAL ESTATE AGENT POSITION: Agent NATURE: I currently hold a Texas Real Estate Agent license and have affiliated with a Real Estate Broker to buy and sell real estate for myself and on behalf of consumers. INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 15 START DATE: 07/15/2025 ADDRESS: Real Broker, LLC, 2626 Cole Avenue Suite 300, Dallas TX 75204, United States DESCRIPTION: Maintain an active real estate license in the state of Texas Maintain an active status with National Association of Realtors and MLS Market my services to potential buyers and sellers of real estate Represent buyers and sellers in real estate transactions Potentially transact business for myself in the acquisition and disposition of investment real estate properties 5) Regen Bioscience; VP of Regenerative Solutions; Regen Bioscience sells and distributes regenerative therapies to patients and medical facilities directed by Medical Doctors. �As a sales representative, my job is to educate doctors and patients on the uses of regenerative medicine and increase sales of the product lineup. � Regenerative medicines are specialized cells that have the ability to differentiate into various cell types. When administered to damaged tissues, regenerative medicine can help promote healing and regeneration.; NIR; 1; 5; 09/15/2025; 1707 Valley Oak Way Oceanside CA 92056; Support Regen Bioscience sales representatives by attending seminars and helping to educate patients about regenerative medicine. Increase sales of products by targeting medspas, iv clinics, orthopedics, etc to open new wholesale accounts. Organize group events for consumers to try Regen products. Maintain a pipeline of sales opportunities to continually tap into and generate more sales. Act as subject matter expert as new sales reps join the firm's distribution channels.

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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 - SEC (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 securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.
RR
New Jersey
(9/5/2025)
RR
Texas
(9/5/2025)
IAR
Texas
(9/5/2025)

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

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Dec 2001About the Series 66 exam

Series 7TO — General Securities Representative Examination

Passed Jan 2023About the Series 7TO exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Oct 2001About the Series 7 exam
FINRA
SRO Registrations

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CRS (Client Relationship Summary) - RIA

Click below to view Ashley E Pedersen's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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